Federal Register / Vol. 86, No. 138 / Thursday, July 22, 2021 / Notices 38791 

Issued in Washington, DC. 

John Karl Alexy, 

Associate Administrator for Railroad Safety 

Chief Safety Officer. 

[FR Doc. 2021–15604 Filed 7–21–21; 8:45 am] 

BILLING CODE 4910–06–P 

DEPARTMENT OF TRANSPORTATION 

Federal Transit Administration 

FTA Fiscal Year 2021 Apportionments, 

Allocations and Program Information 

AGENCY: Federal Transit Administration 

(FTA), Department of Transportation 

(DOT). 

ACTION: Notice. 

SUMMARY: This notice provides priorities 

for programs in Fiscal Year (FY) 2021, 

announces Coronavirus Response and 

Relief Supplemental Appropriations 

Act, American Rescue Plan Act, and 

full-year apportionments and 

allocations for grant programs, provides 

contract authority, and describes plans 

for several competitive programs. 

FOR FURTHER INFORMATION CONTACT: For 

general information about this notice, 

contact John Bodnar, Director of Transit 

Programs, Office of Program 

Management, at (202) 366–2053. Please 

contact the appropriate FTA Regional 

Office for any specific requests for 

information or technical assistance. FTA 

Regional Office contact information is 

available on FTA’s website: 

www.transit.dot.gov. An FTA 

headquarters contact for each major 

program area is included in the 

discussion of that program in the text of 

this notice. FTA recommends 

stakeholders subscribe on FTA’s 

website: www.transit.dot.gov to receive 

email notifications when new 

information is available. 

SUPPLEMENTARY INFORMATION: 

Table of Contents 

I. Overview 

II. FY 2021 Funding for FTA Programs 

A. Funding Available Under the 

Consolidated Appropriations Act, 2021 

B. Oversight Takedown 

C. FY 2021 Formula Apportionments: Data 

and Methodology 

III. FY 2021 Program Highlights 

A. Emergency Relief Docket 

B. Policy Priorities 

1. Supporting the Transit Industry COVID– 

19 Pandemic Response and Recovery 

2. Public Transportation Agency Safety 

Plans 

3. Public Transportation Safety 

Certification Training Program 

4. Changes to 2 CFR 200 

5. Other Policy Priorities 

C. Implementation and Oversight of 

CARES, CRRSAA and ARP Funding 

D. FY 2021 Competitive Program Funding 

E. National Defense Authorization Act for 

FY 2020 

F. Prompt Notification of Knowledge of 

Potential Fraud, Waste, or Abuse 

Occurring on FTA-Funded Projects 

IV. FY 2021 Program-Specific Information 

A. Metropolitan Planning Program (49 

U.S.C. 5303 and 5305(d)) 

B. State Planning and Research Program 

(49 U.S.C. 5304 and 5305(e)) 

C. Urbanized Area Formula Program (49 

U.S.C. 5307) 

D. Fixed Guideway Capital Investment 

Grants Program (49 U.S.C. 5309) 

E. Formula Grants for the Enhanced 

Mobility of Seniors and Individuals With 

Disabilities Program (49 U.S.C. 5310) 

F. Formula Grants for Rural Areas Program 

(49 U.S.C. 5311) 

G. Rural Transportation Assistance 

Program (49 U.S.C. 5311(b)(3)) 

H. Appalachian Development Public 

Transportation Assistance Program (49 

U.S.C. 5311(c)(2)) 

I. Public Transportation on Indian 

Reservations Program (49 U.S.C. 

5311(c)(1)) 

J. Public Transportation Innovation (49 

U.S.C. 5312) 

K. Technical Assistance and Workforce 

Development (49 U.S.C. 5314) 

L. Public Transportation Emergency Relief 

Program (49 U.S.C. 5324) 

M. State Safety Oversight Formula Program 

(49 U.S.C. 5329) 

N. State of Good Repair Grants Program (49 

U.S.C. 5337) 

O. Grants for Buses and Bus Facilities 

Program (49 U.S.C. 5339) 

P. Growing States and High-Density States 

Formula Factors (49 U.S.C. 5340) 

Q. Washington Metropolitan Area Transit 

Authority Grants 

R. Coronavirus Response and Recovery 

Supplemental Appropriations Act 

Transit Infrastructure Grants 

S. American Rescue Plan Act of 2021 

V. FY 2021 Grants 

A. Automatic Pre-Award Authority To 

Incur Project Costs 

B. Letter of No Prejudice (LONP) Policy 

C. FY 2021 Annual List of Certifications 

and Assurances 

D. Civil Rights Requirements 

E. Consolidated Planning Grants 

F. Grant Application Procedures 

I. Overview 

This document provides notice to 

stakeholders that FTA is apportioning 

the full Fiscal Year (FY) 2021 

authorized contract authority through 

September 30, 2021, for FTA formula 

and competitive programs pursuant to 

Division L of the Consolidated 

Appropriations Act, 2021 (Pub. L. 116– 

260). In addition, Section IV.R of this 

document includes information about 

supplemental funding provided in 

Division M of the Consolidated 

Appropriations Act, 2021, also known 

as the Coronavirus Response and 

Recovery Supplemental Appropriations 

Act (CRRSAA). Section IV.S of this 

document includes information about 

the American Rescue Plan Act of 2021 

(ARP). Important information about 

FTA programs, statutory requirements, 

and policy priorities is also included in 

this document. 

Division B of the Continuing 

Appropriations Act, 2021 and Other 

Extensions Act (Pub. L. 116–159), 

extended the Federal Transit program 

authorization at FY 2020 funding levels. 

For each FTA program, this notice 

provides information on the FY 2021 

authorized funding levels, funding 

availability, and the period of 

availability of funds. A separate section 

provides information on pre-award 

authority as well as other requirements 

applicable to FTA programs and grant 

administration. Finally, the notice 

includes a reference to tables on FTA’s 

website that show new contract 

authority apportioned and made 

available through September 30, 2021. 

Information in this document 

includes references to existing FTA 

program guidance and circulars. Some 

information in FTA’s guidance 

documents and circulars may have been 

superseded by provisions in the Fixing 

America’s Surface Transportation 

(FAST) Act (Pub. L. 114–94), but these 

guidance documents and circulars 

remain a resource for program 

management in most areas. 

II. FY 2021 Funding for FTA Programs 

A. Funding Available Under the 

Consolidated Appropriations Act, 2021 

Division L of the Consolidated 

Appropriations Act, 2021 (Pub. L. 116– 

260) makes $12.8 billion in funding 

available for FTA programs in FY 2021. 

The Consolidated Appropriations Act, 

2021, provides $10.15 billion in funding 

for FY2021 from the Mass Transit 

Account of the Highway Trust Fund at 

the amounts authorized under 49 U.S.C. 

5338(a), as extended for FY 2021 by 

division B of Continuing Appropriations 

Act, 2021 and Other Extensions Act. 

The Consolidated Appropriations Act, 

2021 also provides $2.537 billion in 

general fund appropriations, including 

$7.5 million for technical assistance and 

workforce development grants, $2.014 

billion for Capital Investment Grants, 

$150 million for grants to the 

Washington Metropolitan Area Transit 

Authority (WMATA), and $516.22 

million for transit infrastructure grants, 

which includes: $118 million for the 

Grants for Buses and Bus Facilities 

Formula Program, $125 million for 

Buses and Bus Facilities competitive 

grants, $125 million for Low or No 

Emissions Grants, $40 million for 


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Formula Grants for Rural Areas, $40 

million for the Section 5340 High 

Density States Apportionments, $40 

million for State of Good Repair Grants, 

$16.22 million for competitive grants in 

areas of persistent poverty, $8 million 

for Passenger Ferry Grants, of which $4 

million is for low or no emission ferries, 

$1 million for the Section 5312 

demonstration and deployment of 

innovative mobility solutions program, 

$1 million for the Section 5312 

accelerating innovative mobility 

initiative, and $2 million for vehicle 

testing facilities. Current funding 

availability for each program is 

identified in Section IV of this notice 

and in Table 1 located on FTA’s FY 

2021 Apportionment web page: 

www.transit.dot.gov/funding/ 

apportionments. 

B. Oversight Takedown 

Section 5338(f) of title 49, United 

States Code (all subsequent statutory 

references are to title 49, United States 

Code unless otherwise noted) provides 

for the following oversight takedowns of 

FTA programs: 0.5 percent of 

Metropolitan and Statewide Planning 

funds, 0.75 percent of Urbanized Area 

Formula Grant funds, 1 percent of Fixed 

Guideway Capital Investment Grants 

funds, 0.5 percent of Formula Grants for 

the Enhanced Mobility of Seniors and 

Individuals with Disabilities funds, 0.5 

percent of Formula Grants for Rural 

Areas funds, 1 percent of State of Good 

Repair Formula Grants funds, 0.75 

percent of Grants for Buses and Bus 

Facilities funds, and 1 percent of funds 

for Capital and Preventive Maintenance 

Projects grants to the Washington 

Metropolitan Area Transit Authority. 

FTA uses the funds to provide necessary 

oversight activities, such as oversight of 

the construction of any major capital 

project receiving Federal public 

transportation assistance; conducting 

reviews and audits of State Safety 

Oversight, drug and alcohol programs, 

civil rights compliance, procurement 

systems, management, planning 

certification, and financial management 

reviews and audits; evaluating and 

analyzing of recipient-specific problems 

and issues; and providing technical 

assistance to correct deficiencies 

identified in compliance reviews and 

audits. 

C. FY 2021 Formula Apportionments: 

Data and Methodology 

1. Apportionment Tables 

FTA publishes apportionment tables 

on its website for each program that 

reflect the funding level in the full-year 

appropriations act less oversight takedowns, as applicable. FTA has posted 

tables displaying the funds available to 

eligible states, tribes, and urbanized 

areas to www.transit.dot.gov/funding/ 

apportionments. This website contains a 

page listing the apportionment and 

allocation tables for FY 2021, links to 

prior year formula apportionment 

notices and tables, and the National 

Transit Database (NTD) and Census data 

used to calculate the FY 2021 

apportionments. 

2. National Transit Database (NTD) and 

Census Data Used in the FY 2021 

Apportionments 

Consistent with past practices, the 

apportionment calculations for Sections 

5307, 5311 (including 5311(c)(1)), 5329, 

5337, and 5339 rely on the most-recent 

transit service data reported to the NTD, 

which for FY 2021 is the 2019 report 

year. Where an apportionment is based 

on the age of the system, the age is 

calculated as of September 30, 2020, the 

last day before FY 2021 began. 

Recipients of Section 5307 or 5311 

funds are required to report to the NTD. 

Additionally, recipients or subrecipients 

of any other FTA program that own, 

operate, or manage assets used in public 

transportation are required to report 

asset data to the NTD. Further, several 

transit operators report to the FTA’s 

NTD on a voluntary basis. For the 2019 

report year, the NTD includes data from 

935 reporters in urbanized areas, 920 of 

which reported operating transit service. 

The NTD also includes data from 1,474 

providers of rural transit service, which 

includes 125 Indian Tribes providing 

transit service. 

Data based on the 2010 Census are 

used to determine population and 

population density for Section 5303, 

5305, 5307 and 5339 programs, as well 

as population and land area for the 5311 

program. The formulas for Sections 

5307, 5311, and 5311(c)(1) include tiers 

where funding is allocated based on the 

number of persons living in poverty, 

and the Section 5310 formula program 

allocates funding based on the 

population of older adults and people 

with disabilities. The Census Bureau no 

longer publishes decennial census data 

on persons living in poverty and 

persons with disabilities. As a result, 

since FY 2013, FTA has used data for 

these populations based on the mostrecent five-year estimates from the 

Census Bureau’s American Community 

Survey (ACS). The NTD and Census 

data that FTA used to calculate the 

apportionments associated with this 

notice can be found on FTA’s website: 

www.transit.dot.gov/funding/ 

apportionments. 

The FY 2021 apportionments use data 

on low-income persons, persons with 

disabilities, and older adults from the 

2014–2018 ACS five-year data set, 

which was published in December 2019. 

These data represent the most recent 

five-year ACS estimates that are 

available as of October 1 for the year 

being apportioned. As was the case in 

prior years, data on low-income persons 

comes from ACS Tables B17024 and 

C17002, ‘‘Age by Ratio of Income to 

Poverty in the Last Twelve Months’’ and 

‘‘Ratio of Income to Poverty Level in 

The Past 12 Months’’ respectively, and 

data on people with disabilities under 

65 years old comes from ACS Table 

S1810, ‘‘Disability Characteristics.’’ Data 

on older adults (over 65 years old) 

comes from ACS Table B01001, ‘‘Sex by 

Age.’’ 

The Bureau of the Census carried out 

a decennial census in 2020. Data 

collected during the decennial census 

impacts the type and amount of funding 

that FTA recipients are eligible to 

receive. The Bureau of the Census is 

expected to issue a list of Urbanized 

Areas and population statistics based on 

2020 Census data in 2022. Changes to an 

area’s designation as an urban or rural 

area will change the grant programs for 

which recipients in that area are 

eligible. Changes to the size and 

population of an area may mean that the 

area will receive more or less formula 

funding than it received based on 2010 

Census data, or may change whether a 

recipient receives funding directly from 

FTA or indirectly from a pass-through 

entity. FTA expects to use 2020 Census 

data for the apportionment of FY 2023 

funds. The apportionment of funds for 

FY 2022 will continue to be conducted 

based on Census data and eligibilities 

from the 2010 Census. Funding for FY 

2022 and prior years will continue to be 

available to grant recipients based on 

their geographic classification under the 

2010 Census for as long as those funds 

remain available, in accordance with the 

terms and conditions of those programs. 

The coronavirus disease 2019 

(COVID–19) pandemic has substantially 

impacted transit data reported to the 

NTD for 2020. Many systems expect 

2020 ridership to be significantly less 

than 2019 ridership. For the FY 2022 

formula apportionment, FTA will 

automatically use either all of an 

agency’s 2019 data or all of their 2020 

data, whichever is higher, based on the 

Vehicle Revenue Miles reported. For the 

FY 2023 formula apportionment, FTA 

will automatically use either all of an 

agency’s 2019 data or else all of their 

2021 data, whichever is higher, based 

on the Vehicle Revenue Miles reported. 

An agency does not need to submit a 


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disaster waiver request to FTA to 

receive this benefit as it will be 

automatically applied to every NTD 

Report. As FTA will use all of a 

particular year’s data for the formula 

apportionment, some individual data 

elements might be higher in the 

alternative year. In some cases, an 

agency may prefer to use the entire data 

set from the alternative year, in which 

case you should contact your NTD 

analyst when filing your report. FTA 

also does not guarantee a positive 

change in apportionment to an 

Urbanized Area (UZA), State, or Tribal 

Area from the prior year since that 

depends not only an agency’s own data, 

but also on the data reported by all other 

transit systems, as well as on the total 

amount of appropriations enacted. 

Recipients should consult FTA’s 

COVID–19 FAQs on the FTA website or 

contact the NTD Help Desk for the mostrecent information on that policy. 

III. FY 2021 Program Highlights 

A. Emergency Relief Docket 

Pursuant to 49 CFR 601.42, in January 

2021, FTA established an Emergency 

Relief Docket for calendar year 2021. 

After an emergency or major disaster, if 

FTA requirements impede a recipient’s 

or subrecipient’s ability to respond to 

the emergency or major disaster, a 

recipient or subrecipient may submit a 

request for temporary relief from FTA 

administrative and statutory 

requirements. A recipient or 

subrecipient seeking relief must submit 

a petition for waiver of FTA 

requirements at www.regulations.gov for 

posting in the docket (FTA–2021–0001). 

Recipients should discuss a potential 

request for relief with their FTA 

Regional Office prior to submitting a 

docket request to determine if the 

request is necessary to receive the 

desired outcome. For additional 

information on the Emergency Relief 

Docket, please contact the appropriate 

FTA Regional Office. 

B. Policy Priorities 

As FTA implements its programs, it is 

particularly focused on the following 

policy priority areas in FY 2021: 

1. Supporting the Transit Industry 

COVID–19 Pandemic Response and 

Recovery 

FTA is dedicated to supporting the 

transit industry’s COVID–19 pandemic 

response and recovery. FTA will 

continue to provide guidance, identify 

areas in which administrative and 

regulatory waivers will provide relief to 

the transit industry, and implement 

programs consistent with the 

Coronavirus Aid, Relief, and Economic 

Security (CARES) Act, the Coronavirus 

Response and Relief Supplemental 

Appropriations Act (CRRSAA), 2021, 

the American Rescue Plan Act of 2021 

(ARP), and any additional supplemental 

funding that may become available. For 

details, please visit http://

www.transit.dot.gov/coronavirus, 

section IV.R of this notice, Coronavirus 

Response and Recovery Supplemental 

Appropriations Act Transit 

Infrastructure Grants, and Section IV.S 

of this notice, American Rescue Plan 

Act of 2021 Federal Transit 

Administration Grants, below. 

2. Public Transportation Agency Safety 

Plans 

The Public Transportation Agency 

Safety Plan (PTASP) regulation at 49 

CFR part 673 requires certain operators 

of public transportation systems that 

receive Federal financial assistance 

under 49 U.S.C. Chapter 53 to draft and 

certify a Public Transportation Agency 

Safety Plan (ASP) by July 20, 2020. On 

December 11, 2020, FTA issued a Notice 

of Enforcement Discretion to alert 

transit agencies that FTA will refrain 

from taking enforcement action until 

July 21, 2021 against any FTA recipient 

or subrecipient subject to the PTASP 

regulation that is unable to certify that 

it has established an Agency Safety Plan 

that complies with the regulation before 

that date. This Notice superseded the 

Notice of Enforcement Discretion issued 

April 22, 2020. During this time, the 

PTASP Technical Assistance Center will 

remain available to meet recipients’ 

PTASP technical assistance needs. 

a. Applicability 

The PTASP regulation applies to all 

operators of public transportation 

systems that are recipients and 

subrecipients of Federal financial 

assistance under the Urbanized Area 

Formula Program (49 U.S.C. 5307) and 

rail transit agencies that are subject to 

FTA’s State Safety Oversight Program. 

FTA has deferred applicability of part 

673 for operators that receive funds only 

through FTA’s Formula Grants for the 

Enhanced Mobility of Seniors and 

Individuals with Disabilities Program 

under 49 U.S.C. 5310 and/or Formula 

Grants for Rural Areas Program under 

49 U.S.C. 5311. In addition, part 673 

does not apply to modes of transit 

service that are subject to the safety 

jurisdiction of another Federal agency, 

including passenger ferry operations 

that are regulated by the United States 

Coast Guard and commuter rail 

operations that are regulated by the 

Federal Railroad Administration. 

States must draft and certify ASPs on 

behalf of small public transportation 

providers within a State, unless a small 

provider opts to draft and certify its own 

ASP and notifies the State that it will do 

so. A small public transportation 

provider is a transit operator that meets 

all of the following requirements: 

• Is a recipient or subrecipient of 

FTA’s Urbanized Area Formula 

Program, 

• Operates 100 or fewer vehicles in 

peak revenue service across all fixed 

route modes, 

• Operates 100 or fewer vehicles in 

peak revenue service in each non-fixed 

route mode, and 

• Does not operate rail fixedguideway public transportation. 

Regardless of who drafts and certifies 

an ASP, each transit operator is required 

to carry out and implement its own 

ASP. 

State Safety Oversight Agencies must 

review and approve the ASP of each rail 

transit agency that they oversee. 

b. Certifications and Assurances 

Applicants for Urbanized Area 

Formula Program funds, rail transit 

agencies that are subject to FTA’s State 

Safety Oversight Program, and States 

that are required to draft and certify an 

ASP on behalf of a small public 

transportation provider must certify that 

they have met the requirements of the 

PTASP regulation no later than July 20, 

2021. The certification requirement does 

not apply to any applicant that receives 

financial assistance from FTA 

exclusively under the Formula Grants 

for the Enhanced Mobility of Seniors 

Program (49 U.S.C. 5310), the Formula 

Grants for Rural Areas Program (49 

U.S.C. 5311), or the combination of 

these two programs. 

On December 11, 2020, FTA issued a 

second Notice of Enforcement 

Discretion that FTA will refrain from 

taking enforcement action until July 21, 

2021, if any FTA recipient or 

subrecipient is unable to certify that it 

has established a compliant Agency 

Safety Plan. Applicants that receive 

awards prior to fulfilling their 

requirements under the PTASP 

regulation will execute all other relevant 

certifications and then execute the 

PTASP certification after the 

requirements are met, but no later than 

July 20, 2021. After July 20, 2021, FTA 

will not process a grant application 

without the PTASP certification. 

For more information on the 

requirements, please visit the PTASP 

Technical Assistance Center at https://

www.transit.dot.gov/PTASP-TAC. 


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3. Public Transportation Safety 

Certification Training Program 

The Public Transportation Safety 

Certification Training Program 

(PTSCTP) regulation at 49 CFR part 672 

provides minimum training 

requirements for designated personnel. 

Designated personnel have until August 

20, 2021, or a later date dependent on 

designation, to complete initial PTSCTP 

training requirements and must 

complete refresher training every two 

years thereafter. On December 11, 2020, 

FTA issued a Notice of Enforcement 

Discretion to alert recipients and 

designated personnel that FTA will 

refrain from taking enforcement action 

until August 21, 2022, against any FTA 

recipient subject to the PTSCTP 

regulation that is unable to meet the 

initial or refresher training requirements 

before that date. 

a. Applicability 

The PTSCTP applies to recipients that 

operate rail transit systems that are 

subject to the FTA State Safety 

Oversight (SSO) Program (49 CFR part 

674) and their designated personnel, 

and State Safety Oversight Agencies 

(SSOA) and their designated personnel. 

Designated personnel include SSO 

employees and contractors who conduct 

safety audits and examinations of rail 

transit systems and rail transit agency 

employees and contractors who are 

directly responsible for safety oversight 

of rail transit systems. 

b. Certifications and Assurances 

FTA recipients that operate rail transit 

systems are subject to the FTA SSO 

Program and SSOAs are required to 

annually certify compliance with the 

PTSCTP regulation. 

4. Changes to Title 2, Code of Federal 

Regulations (2 CFR) 

On August 13, 2020, the Office of 

Management and Budget (OMB) issued 

updates to multiple Parts of 2 CFR 

including part 25: Universal Identifier 

and System for Award Management; 

part 170: Reporting Sub-award and 

Executive Compensation Information; a 

new section, part 183: Never Contract 

with the Enemy; and part 200: the 

Uniform Administrative Requirements, 

Cost Principles, and Audit 

Requirements for Federal Awards. Many 

of the changes were made to provide 

clarity and align with other regulations 

and OMB Circulars; coordinate 

processes, procedures, and reporting 

requirements; and better identify 

requirements from best practices. 

Two of the provisions, specifically 2 

CFR 200.216 and 200.340, took effect 

immediately. Section 200.216 prohibits 

federal award recipients from using 

government funds to enter into contracts 

(or extend or renew contracts) for 

certain telecommunications equipment 

or services, including, but not limited 

to, those produced by Huawei 

Technologies Company or ZTE 

Corporation (or any subsidiary or 

affiliate of such entities). Section 

200.340 describes specific reasons 

federal awarding agencies, pass-through 

entities, and non-federal entity 

recipients may terminate awards or 

parts of an award. 

The remainder of the provisions 

became effective for new awards and 

additional funding applied to existing 

awards on November 12, 2020. The 

requirements of 2 CFR part 200 are 

incorporated into FTA awards through 

the Master Agreement and annual 

Certifications and Assurances. For the 

most part, the changes under 2 CFR part 

200 do not substantially change 

administrative requirements, cost 

principles and audit requirements as 

experienced by FTA recipients. 

Where FTA Circular 5010.1E 

references the former administrative 

requirements or FTA Program Circulars 

reference specific requirements of 49 

CFR parts 18 or 19 (the old Common 

Rule, since repealed), non-Federal 

entities should follow the current rule 

in 2 CFR parts 200 and 1201. 

A revision to 2 CFR 200.414 eases 

conditions for the election of the de 

minimis indirect cost rate. Now, a nonfederal entity may elect to use the de 

minimis rate even if the entity 

previously had a negotiated rate. 

Applicants and recipients should 

contact their FTA Regional Transit 

Office for assistance. 

Applicants and recipients are 

reminded of the need to maintain 

current registration in the System for 

Award Management (SAM) and provide 

requisite or updated information in a 

timely manner. 

Grant closeout is impacted by changes 

in 2 CFR 200.344. The revision 

increases from 90 to 120 the number of 

days that are allowed after the end of 

the period of performance to complete 

closeout requirements, submit required 

reports, and resolve outstanding 

obligations. The revised 2 CFR 200.344 

also specifies that, if a recipient does 

not submit all required reports within a 

year of the end of an award’s period of 

performance, FTA must report the 

recipient’s material failure to comply 

with the terms of the agreement in 

FAPIIS (the governmentwide integrity 

and performance system). 

5. Other Policy Priorities 

FTA will provide additional 

information on other policy priorities in 

upcoming Notices of Funding 

Opportunity relating to specific 

competitive grant programs. These 

priorities will be consistent with the 

objectives of President Biden’s 

Executive Orders, including, but not 

limited to: Executive Order 13985: 

Advancing Racial Equity and Support 

for Underserved Communities Through 

the Federal Government; Executive 

Order 13990: Protecting Public Health 

and the Environment and Restoring 

Science To Tackle the Climate Crisis; 

Executive Order 14005: Ensuring the 

Future Is Made in All of America by All 

of America’s Workers; and Executive 

Order 14008: Tackling the Climate 

Crisis at Home and Abroad. 

C. Implementation and Oversight of 

CARES, CRRSAA and ARP Funding 

Beginning in FY 2020, and continuing 

in FY 2021, FTA has made nearly $70 

billion in supplemental funding 

available to assist transit agencies 

respond to the COVID–19 pandemic. In 

addition to providing additional 

financial assistance to transit agencies, 

the funding made available through the 

Coronavirus Aid, Relief, and Economic 

Security (CARES) Act; the Coronavirus 

Response and Relief Supplemental 

Appropriations Act (CRRSAA); and 

American Rescue Plan (ARP) allowed 

for changes in how recipients use FTA 

funds. This includes allowing all 

recipients, regardless of size or 

urbanized area population, to charge 

operating expenses to FTA grants at one 

hundred percent Federal share. 

The total amount of funding provided, 

the elimination of local match 

requirements, and the expansion of 

types of expenses (including operating 

expenses) has created a need for 

additional technical assistance and 

oversight. FTA has developed a new 

approach to oversight of the COVID–19 

relief funding that focuses on both 

technical assistance and supplemental 

oversight. As technical assistance to the 

transit industry, FTA will conduct a 

series of webinars that will focus on 

helping recipients understand how to 

calculate and document operating 

expenses in order to charge them to FTA 

grants. 

In implementing enhanced oversight 

of COVID–19 relief funds, FTA will 

incorporate specific focus areas under 

FTA’s existing oversight program as 

well as supplemental oversight reviews 

for recipients not scheduled for a 

Triennial or State Management Review 

in FY 2021. Supplemental oversight will 


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entail spot reviews of select recipients 

to examine expenses charged to FTA 

grants and documentation of those 

expenses and may include a review of 

the recipient’s financial systems. This 

additional oversight will help FTA 

identify and resolve any issues related 

to the use of COVID–19 relief funding at 

an early stage and ensure the proper 

management and control of the 

additional funding appropriated to 

assist transit agencies in recovering from 

the impacts of COVID–19. 

D. FY 2021 Competitive Program 

Funding 

FTA’s competitive grant programs and 

the FY 2021 appropriated funding levels 

are identified in the chart below. FTA 

selects projects for funding after 

issuance of a Notice of Funding 

Opportunity (NOFO). 

FY 2021 competitive programs Statute 49 U.S.C. 

FY 2021 

amount 

($M) 

NOFO 

published 

Applications 

due 

Low or No Emission Grants Competitive Program ................. 5339(c) ................................... $180.00 2/11/2021 4/12/2021 

Grants for Buses and Bus Facilities Competitive Program .... 5339(b) ................................... 409.59 TBD TBD 

Passenger Ferry Grant Program ............................................. 5307(h) ................................... 38.00 TBD TBD 

Tribal Transit ........................................................................... 5311(c)(1)(A) .......................... 5.00 5/27/2021 8/25/2021 

Integrated Mobility Innovation ................................................. 5312 ....................................... 1.00 TBD TBD 

Accelerating Innovative Mobility Challenge Grants ................ 5312 ....................................... 1.00 TBD TBD 

Transit Workforce Technical Assistance Center ..................... 5314 ....................................... 2.50 4/9/2021 5/10/2021 

Bus Exportable Power Systems .............................................. 5314 ....................................... 1.00 TBD TBD 

Discretionary Technical Assistance Programs ........................ 5314 ....................................... 4.00 TBD TBD 

Areas of Persistent Poverty Grants ........................................ Consolidated Appropriations 

Act, 2021.

16.22 6/30/2021 8/30/2021 

Pilot Program for Innovative Coordinated Access and Mobility.FAST Section 3006(b) ........... 3.50 TBD TBD 

Transit Oriented Development Planning Grants ..................... MAP–21 20005(b) .................. 10.00 4/21/2021 6/21/2021 

E. National Defense Authorization Act 

for FY 2020 

Section 7613 of the National Defense 

Authorization Act for FY 2020 (NDAA) 

amended 49 U.S.C. 5323 to add 

subsections (u) Limitation on Certain 

Rail Rolling Stock Procurements and (v) 

Cybersecurity Certification for Rail 

Rolling Stock and Operations. FTA 

issued guidance to help transit agencies 

and transit vehicle manufacturers 

understand and comply with the 

prohibitions on FTA-funded rolling 

stock procurements. FTA’s NDAA 

Frequently Asked Questions are based 

on inquiries from recipients and transit 

vehicle manufacturers and can be found 

at https://www.transit.dot.gov/funding/ 

procurement/frequently-askedquestions-regarding-section-7613- 

national-defense. 

F. Prompt Notification of Knowledge of 

Potential Fraud, Waste, or Abuse 

Occurring on FTA-Funded Project 

Section 39(a)(3) of FTA’s Master 

Agreement includes a requirement that 

a recipient must ‘‘promptly notify’’ the 

U.S. DOT Office of Inspector General 

(OIG), in addition to the FTA Chief 

Counsel or applicable Regional Counsel, 

when it has knowledge of potential 

fraud, waste, or abuse occurring on an 

FTA-funded project. ‘‘Knowledge’’ 

includes, but is not limited to, 

knowledge of a criminal or civil 

investigation by a Federal, state, or local 

law enforcement or other investigative 

agency, a criminal indictment or civil 

complaint, or probable cause that could 

support a criminal indictment, or any 

other credible information in the 

possession of any divisions of the 

recipient, including divisions tasked 

with law enforcement or investigatory 

functions. For example, such knowledge 

includes when a recipient’s inspector 

general, legal counsel, or other 

responsible office begins an 

investigation involving a project that 

has received financial assistance from 

FTA, or knowledge by a recipient’s 

inspector general, legal counsel, senior 

management, or executives that such an 

investigation has been initiated by an 

outside Federal, state, or local entity. 

The Master Agreement defines 

prompt notification as ‘‘to refer 

information without delay and without 

change.’’ Unless a recipient can 

demonstrate extenuating circumstances 

outside of its control, it should notify 

the U.S. DOT OIG and FTA Chief 

Counsel or Regional Counsel within ten 

(10) business days of the recipient’s 

receipt of such knowledge of potential 

fraud, waste, or abuse, and this 

notification should include the 

project(s) at issue that have received 

FTA financial assistance. 

IV. FY 2021 Program-Specific 

Information 

A. Metropolitan Planning Program (49 

U.S.C. 5303 and 5305(d)) 

Section 5305(d) authorizes Federal 

funding to support a cooperative, 

continuous, and comprehensive 

planning program for transportation 

investment decision-making at the 

metropolitan area level. The specific 

requirements of metropolitan 

transportation planning are set forth in 

49 U.S.C. 5303 and further explained in 

23 CFR part 450, as incorporated by 

reference in 49 CFR part 613, Planning 

Assistance and Standards. The State 

DOTs are the designated recipients of 

Metropolitan Planning Programs (MPP) 

and State Planning and Research 

Program (SPRP) funds allocated by FTA, 

which are then sub-allocated to 

Metropolitan Planning Organizations 

(MPOs) for planning activities that 

support the economic vitality of the 

metropolitan area. The Secretary has the 

discretion to award MPP and SPRP 

assistance to States, authorities of 

States, MPOs, and local governmental 

authorities. 

Each MPO must establish specific 

performance targets against system 

performance measures issued by FTA 

and the Federal Highway 

Administration (FHWA) and use these 

targets in tracking progress towards 

attaining critical outcomes. The MPO 

must coordinate with States and transit 

providers in setting these targets. MPOs 

must provide a system performance 

report that evaluates progress in meeting 

the performance targets in comparison 

with the system performance identified 

in prior reports. MPP funding must 

support work resulting in balanced and 

comprehensive intermodal 

transportation planning for the 

movement of people and goods in the 

metropolitan area. Comprehensive 

transportation planning is not limited to 

transit planning or surface 


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transportation planning, but also 

encompasses the relationships among 

land use and all transportation modes, 

without regard to the programmatic 

source of Federal assistance. MPP funds 

may be used for studies relating to 

management, mobility management, 

planning, operations, capital 

requirements, economic feasibility, 

performance-based planning, safety, and 

transit asset management. Funds may be 

used to develop or update the 

metropolitan planning agreements, and 

to evaluate previously funded projects 

or to conduct peer reviews and 

exchanges of technical data, 

information, or assistance, among MPOs 

and other transportation planners. 

Funds may be used for planning for 

multimodal transportation access to 

transit facilities; system planning; 

scenario planning; corridor-level 

alternative analysis; development of 

federally required documents, including 

the Transit Asset Management Plan and 

Public Transportation Agency Safety 

Plan; safety, security and emergency 

transportation planning; coordinated 

public transit human services 

transportation planning; transportation 

and air quality planning and conformity 

analysis; and public participation in the 

transportation planning, including the 

development of the Public Participation 

Plan. An exhaustive list of eligible work 

activities is provided in FTA Circular 

8100.1D, Program Guidance for 

Metropolitan Planning and State 

Planning and Research Program Grants, 

dated September 10, 2018. 

For more information about the 

Metropolitan Planning program, please 

contact Victor Austin at (202) 366–2996 

or victor.austin@dot.gov. 

1. Authorized Amounts 

Federal public transportation law 

authorizes $142,036,417 to carry out 

Section 5305. Of the amounts 

authorized for Section 5305, 82.72 

percent, or $117,492,524, is made 

available to the Metropolitan Planning 

Program in FY 2021 to provide financial 

assistance for metropolitan planning 

needs under Section 5303. 

2. FY 2021 Funding Availability 

Under the Consolidated 

Appropriations Act, 2021, $117,492,524 

is available to the Metropolitan 

Planning Program (Section 5305(d)) to 

support metropolitan transportation 

planning activities set forth in Section 

5303. The total amount apportioned for 

the Metropolitan Planning Program to 

States for use by MPOs in urbanized 

areas (UZAs) is $116,952,863 as shown 

in the table below, after the deduction 

for oversight (authorized by Section 

5338) and the addition of reapportioned 

funds. 

METROPOLITAN PLANNING PROGRAM

Total FY 2021 Appropriation 

Available ............................ $117,492,524 

Oversight Deduction ............. (587,463) 

Reapportioned Funds ........... 47,802 

Total Apportioned .............. 116,952,863 

3. Period of Availability 

The Metropolitan Planning program 

funds apportioned in this notice are 

available for obligation during FY 2021 

plus three additional fiscal years. Funds 

apportioned in FY 2021 must be 

obligated in grants by September 30, 

2024. Any FY 2021 apportioned funds 

that remain unobligated at the close of 

business on September 30, 2024, will 

revert to FTA for reapportionment 

under the Metropolitan Planning 

Program. 

B. State Planning and Research Program 

(49 U.S.C. 5304 and 5305(e)) 

This program provides financial 

assistance to States for statewide 

transportation planning and other 

technical assistance activities, including 

supplementing the technical assistance 

program provided through the 

Metropolitan Planning Program and 

planning support for non-urbanized 

areas. The specific requirements of 

Statewide transportation planning are 

set forth in 49 U.S.C. 5304 and further 

explained in 23 CFR part 450 as 

referenced in 49 CFR part 613, Planning 

Assistance and Standards. State DOTs 

are required to reference performance 

measures and performance targets 

within the Statewide Planning process. 

This funding must support work 

resulting in balanced and 

comprehensive intermodal 

transportation planning for the 

movement of people and goods and has 

the same eligibilities as MPP funds. 

For more information about the State 

Planning and Research program, please 

contact Victor Austin at (202) 366–2996 

or victor.austin@dot.gov. 

1. Authorized Amounts 

Federal public transportation law 

authorizes $24,543,893 in FY 2021 to 

provide financial assistance for 

statewide planning and other technical 

assistance activities under Section 5305. 

As specified in law, this represents the 

17.28 percent of the amounts available 

for Section 5305 that are allocated to the 

Statewide Planning and Research 

program. 

2. FY 2021 Funding Availability 

Under the Consolidated 

Appropriations Act, 2021, $24,543,893 

is available for the State Planning and 

Research Program (Section 5305(e)). The 

total amount apportioned for the State 

Planning and Research Program (SPRP) 

is $26,189,795 as shown in the table 

below, after the deduction for oversight 

(authorized by Section 5338) and the 

addition of reapportioned funds. 

STATEWIDE TRANSPORTATION

PLANNING PROGRAM

Total FY 2021 Appropriation 

Available ............................ $24,543,893 

Oversight Deduction ............. (122,719) 

Reapportioned Funds ........... 1,768,621 

Total Apportioned .............. 26,189,795 

States’ apportionments for this program are 

displayed in Table 2. 

3. Period of Availability 

The State Planning and Research 

program funds apportioned in this 

notice are available for obligation during 

FY 2021 plus three additional fiscal 

years. Accordingly, funds apportioned 

in FY 2021 must be obligated in grants 

by September 30, 2024. Any FY 2021 

apportioned funds that remain 

unobligated at the close of business on 

September 30, 2024 will revert to FTA 

for reapportionment under the State 

Planning and Research Program. 

C. Urbanized Area Formula Program (49 

U.S.C. 5307) 

The Urbanized Area Formula Program 

provides financial assistance to 

designated recipients in urbanized areas 

(UZAs) for capital investments in public 

transportation systems, planning, job 

access and reverse commute projects, 

and, in some cases, operating assistance. 

FTA apportions funds for this program 

through a statutory formula. Of the 

amount authorized for Section 5307 

each year, $30 million is set aside for 

the competitive Passenger Ferry Grant 

Program (Ferry program), as authorized 

under 49 U.S.C. 5307(h). The Ferry 

program offers financial assistance to 

public ferry systems in urbanized areas 

for capital projects. Projects are selected 

annually through a funding 

competition. Additionally, 0.5 percent 

will be apportioned to eligible States for 

State Safety Oversight (SSO) program 

grants, and 0.75 percent will be set aside 

for program oversight. Further 

information on the 0.5 percent 

apportionment to States for the State 

Safety Oversight Program is provided in 

section IV.M. of this notice. 

For more information about the 

Urbanized Area Formula Program, 


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contact Alexandria Burns at (202) 366– 

7464 or alexandria.burns@dot.gov. 

For more information about the Ferry 

program, contact Vanessa Williams at 

(202) 366–4818 or vanessa.williams@

dot.gov. 

1. Authorized Amounts 

Federal public transportation law 

authorizes $4,929,452,499 in FY 2021 to 

provide financial assistance for 

urbanized areas under Section 5307. 

2. FY 2021 Funding Availability 

Under the Consolidated 

Appropriations Act, 2021, 

$4,929,452,499 is available for the 

Urbanized Area Formula Program. The 

total amount apportioned is 

$5,375,259,282, which includes the 

addition of reapportioned funds and 

amounts apportioned to UZAs pursuant 

to the Section 5340 Growing States and 

High-Density States Formula factors. 

This amount to UZAs excludes the setaside of $30 million for the Ferry 

program, apportionments under the 

State Safety Oversight Program, and 

oversight (authorized by Section 5338), 

as shown in the table below. A total of 

$38 million is available for the Ferry 

program, consisting of the $30 million 

set-aside noted here, plus an additional 

$8 million appropriated in the 

Consolidated Appropriations Act, 2021. 

URBANIZED AREA FORMULA PROGRAM

Total FY 2021 Appropriation Available ................. a $4,929,452,499 

Oversight Deduction ......... (36,970,894) 

State Safety Oversight 

Program ........................ (24,647,262) 

Ferry Discretionary Program .............................. (30,000,000) 

5340 High Density States 309,364,074 

5340 Growing States ........ 214,889,744 

Reapportioned Funds ....... 13,171,121 

Total Apportioned .......... 5,375,259,282 

a Includes 1.5 percent set-aside for Small 

Transit Intensive Cities Formula 

Table 3 displays the amounts apportioned 

under the Urbanized Area Formula Program. 

3. Period of Availability 

Funds made available under the 

Urbanized Area Formula Program are 

available for obligation during the year 

of apportionment plus five additional 

years. Accordingly, funds apportioned 

in FY 2021 must be obligated by 

September 30, 2026. Any FY 2021 

apportioned funds that remain 

unobligated at the close of business on 

September 30, 2026 will revert to FTA 

for reapportionment under the 

Urbanized Area Formula Program. 

Funds allocated under the Ferry 

program have the same period of 

availability as Section 5307. 

Accordingly, funds allocated in FY 2021 

must be obligated by September 30, 

2026. Any of the funds allocated in FY 

2021 that remain unobligated at the 

close of business on September 30, 2026 

will revert to FTA for reallocation under 

the Ferry program. Competitive Ferry 

program funds are available for 

obligation during the FY in which funds 

are allocated/awarded to projects plus 

five additional years. 

D. Fixed Guideway Capital Investment 

Grants Program (49 U.S.C. 5309) 

The Capital Investment Grants (CIG) 

Program includes four types of eligible 

projects: New Starts projects, Small 

Starts projects, Core Capacity 

Improvement projects, and Programs of 

Inter-related Projects. Funding is 

provided for construction of: (1) New 

fixed guideway systems or extensions to 

existing fixed guideway systems such as 

rapid rail (heavy rail), commuter rail, 

light rail, streetcar, hybrid rail, 

trolleybus (using overhead catenary), 

cable car, passenger ferries, and bus 

rapid transit operating on an exclusive 

transit lane for the majority of the 

corridor length during peak periods that 

also includes features that emulate the 

services provided by rail fixed 

guideway, including defined stations, 

traffic signal priority for public transit 

vehicles, and short headway bidirectional service for a substantial part 

of weekdays and weekends; (2) corridorbased bus rapid transit service that does 

not operate on an exclusive transit lane 

but includes features that emulate the 

services provided by rail fixed 

guideway, including defined stations, 

traffic signal priority for public transit 

vehicles, and short headway bidirectional services for a substantial part 

of weekdays; (3) projects that expand 

the capacity by at least 10 percent in an 

existing fixed guideway corridor that is 

at capacity today or will be in five years; 

and (4) programs of two or more 

interrelated projects as described above 

that have logical connectivity with one 

another and will all begin construction 

in a reasonable timeframe. A separate 

funding program authorized by the 

FAST Act Section 3005(b) allows for an 

Expedited Project Delivery Pilot 

Program. 

For more information about the 

Capital Investment Grants Program 

contact Elizabeth Day, Office of Capital 

Project Development, at (202) 366–5159 

or elizabeth.day@dot.gov. For more 

information about the Expedited Project 

Delivery Pilot Program, contact Mark 

Ferroni, Office of Planning and 

Environment, at (202) 366–3233 or 

mark.ferroni@dot.gov. For information 

about published allocations for both the 

CIG and EPD programs contact Eric Hu, 

Office of Transit Programs, at (202) 366– 

0870 or eric.hu@dot.gov. 

1. Authorized Amounts 

Federal public transportation law 

authorizes $2,301,785,760 in FY 2021 to 

provide financial assistance for Capital 

Investment Grants under Section 5309 

and Section 3005(b) of the FAST Act. 

2. FY 2021 Funding Availability 

Under the Consolidated 

Appropriations Act, 2021, 

$2,014,000,000 is available for the 

Capital Investment Grants Program and 

the FAST Act Section 3005(b) Expedited 

Project Delivery Pilot Program. The 

funds are available to be allocated in the 

following amounts: $1,169,000,000 for 

New Starts projects; $525,000,000 for 

Core Capacity projects; $200,000,000 for 

Small Starts projects; $100,000,000 for 

FAST Act Section 3005(b) Expedited 

Project Delivery Pilot Program projects 

and $20,000,000 for Oversight. The total 

amount available for projects is 

$1,994,000,000 as shown in the table 

below, after the deduction for oversight 

(authorized by Section 5338). 

CAPITAL INVESTMENT GRANTS

PROGRAM

Total FY 2021 Appropriation Available ................. $2,014,000,000 

Oversight Deduction ......... (20,000,000) 

Total Apportioned .......... 1,994,000,000 

3. Period of Availability 

Capital Investment Grants and 

Expedited Delivery Pilot program funds 

apportioned in this notice must be 

obligated in grants by September 30, 

2024, as stipulated by the Consolidated 

Appropriations Act, 2021. 

E. Formula Grants for the Enhanced 

Mobility of Seniors and Individuals 

With Disabilities Program (49 U.S.C. 

5310) 

The Section 5310 Enhanced Mobility 

of Seniors and Individuals with 

Disabilities Program provides formula 

funding to States and urbanized areas 

for meeting the transportation needs of 

older adults and people with disabilities 

when the public transportation service 

provided is unavailable, insufficient, or 

inappropriate to meet these needs. The 

program aims to improve mobility for 

seniors and individuals with disabilities 

by removing barriers to transportation 

service and expanding transportation 

mobility options. The Pilot Program for 

Innovative Coordinated Access and 

Mobility Program (Pilot Program) was 


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established by Section 3006(b) of the 

FAST Act. The purpose of the program 

is to assist in financing innovative 

projects for the transportation 

disadvantaged that improve the 

coordination of transportation services 

and non-emergency medical 

transportation (NEMT) services, 

including, for example, the deployment 

of coordination technology, and projects 

that create or increase access to 

community One-Call/One-Click Centers. 

For more information about the 

Enhanced Mobility of Seniors and 

Individuals with Disabilities Program, 

please contact Destiny Buchanan at 

(202) 493–8018 or destiny.buchanan@

dot.gov. 

1. Authorized Amounts 

Federal public transportation law 

authorizes $285,574,688 in FY 2021 to 

provide formula funding to designated 

recipients and States for meeting the 

transportation needs of older adults and 

people with disabilities. The law also 

authorizes $3.5 million for the 

competitive Innovative Coordinated 

Access and Mobility Pilot Program. 

2. FY 2021 Funding Availability 

Under the Consolidated 

Appropriations Act, 2021, $285,574,688 

is available for the Section 5310 formula 

program. The total amount apportioned 

is $292,921,581 after the oversight 

deduction and the addition of 

reapportioned funds as shown in the 

table below. A total of $3,500,000 is 

available for the competitive Pilot 

Program. 

FORMULA GRANTS FOR THE ENHANCED

MOBILITY OF SENIORS AND INDIVIDUALS WITH DISABILITIES PROGRAM

Total FY 2021 Appropriation 

Available ............................ $285,574,688 

Oversight Deduction ............. (1,427,873) 

Reapportioned Funds ........... 8,744,766 

Total Apportioned .............. 292,921,581 

3. Period of Availability 

The Enhanced Mobility of Seniors 

and Individuals with Disabilities 

program funds apportioned in this 

notice are available for obligation during 

FY 2021 plus two additional fiscal 

years. Accordingly, funds apportioned 

in FY 2021 must be obligated in grants 

by September 30, 2023. Any FY 2021 

apportioned funds that remain 

unobligated at the close of business on 

September 30, 2023, will revert to FTA 

for reapportionment among the States 

and urbanized areas. 

F. Formula Grants for Rural Areas 

Program (49 U.S.C. 5311) 

The Formula Grants for Rural Areas 

Program provides formula funding to 

States and Indian tribes to support 

public transportation in areas with a 

population of less than 50,000. Funding 

may be used for capital, operating, 

planning, job access and reverse 

commute projects, and State 

administration expenses. Eligible 

subrecipients include State and local 

governmental authorities, Indian Tribes, 

private non-profit organizations, and 

private intercity bus companies. Indian 

Tribes are also eligible direct recipients 

under the Formula Grants for Rural 

Areas Program, both for funds 

apportioned to the States and for 

projects apportioned or competitively 

selected to be funded with funds set 

aside from the Tribal Transit Program. 

For more information about the 

Formula Grants for Rural Areas 

Program, please contact Elan Flippin at 

(202) 366–3800 or elan.flippin@dot.gov. 

1. Authorized Amounts 

Federal public transportation law 

authorizes $673,299,658 for FY 2021 to 

provide financial assistance for rural 

areas under the Formula Grants for 

Rural Areas Program. This amount 

includes $35 million for the Tribal 

Transit Program; $20 million for the 

Appalachian Program; $13,465,993 for 

the Rural Transit Assistance Program; 

and $604,833,665 for the Rural Formula 

Program. 

2. FY 2021 Funding Availability 

Under the Consolidated 

Appropriations Act, 2021, $644,033,664 

is available for the Rural Area Formula 

Program, including an additional $40 

million from the transit infrastructure 

grants appropriation. The total amount 

apportioned to the program is 

$728,734,295 as shown in the table 

below, after the addition of 

reapportioned funds, the addition of 

Section 5340(c) Growing States funds, 

and the oversight deduction authorized 

by Section 5338. 

GRANTS FOR RURAL AREAS FORMULA

PROGRAM

Total FY 2021 Appropriation 

Available ............................ $644,033,664 

Oversight Deduction ............. (3,566,498) 

5340 Growing States ............ 85,779,099 

Reapportioned Funds ........... 2,488,030 

Total Apportioned .............. 728,734,295 

3. Period of Availability 

The Formula Grants for Rural Areas 

program funds apportioned in this 

notice are available for obligation during 

FY 2021 plus two additional fiscal 

years. Accordingly, funds apportioned 

in FY 2021 must be obligated in grants 

by September 30, 2023. Any FY 2021 

apportioned funds that remain 

unobligated at the close of business on 

September 30, 2023, will revert to FTA 

for reapportionment under the Formula 

Grants for Rural Areas Program. 

G. Rural Transportation Assistance 

Program (49 U.S.C. 5311(b)(3)) 

This program provides funding to 

assist in the design and implementation 

of training and technical assistance 

projects, research, and other support 

services tailored to meet the needs of 

transit operators in rural areas. 

For more information about Rural 

Transportation Assistance Program 

(RTAP), please contact Elan Flippin at 

(202) 366–3800 or elan.flippin@dot.gov. 

1. Authorized Amounts 

Federal public transportation law 

authorized $13,465,993, or two percent 

of the funds made available for the 

Formula Grants for Rural Areas 

Program, to be made available for the 

Rural Transportation Assistance 

Program (RTAP). Of the two percent 

takedown, 15 percent is reserved for the 

National Rural Transit Assistance 

Program (NRTAP). The remainder is 

available for allocation to the States. 

2. FY 2021 Funding Availability 

Under the Consolidated 

Appropriations Act, 2021, $14,265,993 

is available for the RTAP. The total 

amount apportioned for RTAP is 

$12,126,094 as shown in the table 

below, after the deduction for NRTAP. 

RURAL TRANSPORTATION ASSISTANCE

PROGRAM (RTAP) 

Total FY 2021 Appropriation 

Available ............................ $14,265,993 

National RTAP ...................... (2,139,899) 

Total Apportioned .............. 12,126,094 

3. Period of Availability 

The RTAP funds apportioned in this 

notice are available for obligation during 

FY 2021 plus two additional fiscal 

years. Accordingly, funds apportioned 

in FY 2021 must be obligated in grants 

by September 30, 2023. 

H. Appalachian Development Public 

Transportation Assistance Program (49 

U.S.C. 5311(c)(2)) 

This program is a take-down under 

the Formula Grants for Rural Areas 

Program to provide additional funding 

to support public transportation in the 


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Appalachian region. There are thirteen 

eligible States that receive an allocation 

under this provision. The State 

allocations are shown in the Formula 

Grants for Rural Areas Program table 

posted on FTA’s website on the FY 2021 

Apportionments page. 

For more information about the 

Appalachian Development Public 

Transportation Assistance Program, 

please contact Elan Flippin at (202) 

366–3800 or elan.flippin@dot.gov. 

1. Authorized Amounts 

Federal public transportation law 

authorizes $20 million in FY 2021 as a 

take-down under the Formula Grants for 

Rural Areas program to support public 

transportation in the Appalachian 

region. 

2. FY 2021 Funding Availability 

Under the Consolidated 

Appropriations Act, 2021, $20 million is 

available. 

APPALACHIAN DEVELOPMENT PUBLIC

TRANSPORTATION ASSISTANCE PROGRAM

Total FY 2021 Appropriation 

Available ............................ $20,000,000 

Total Apportioned .............. 20,000,000 

3. Period of Availability 

The Appalachian program funds 

apportioned in this notice are available 

for obligation during FY 2021 plus two 

additional fiscal years, consistent with 

that established for the Formula Grants 

for Rural Areas Program. Accordingly, 

funds apportioned in FY 2021 must be 

obligated in grants by September 30, 

2023. 

I. Public Transportation on Indian 

Reservations Program (49 U.S.C. 

5311(c)(1)) 

The Public Transportation on Indian 

Reservations Program, or Tribal Transit 

Program (TTP), totals $35 million, of 

which $30 million is for a formula 

program and $5 million is for a 

competitive grant program. It is funded 

as a takedown from funds made 

available for the Formula Grants for 

Rural Areas program. Formula factors 

include vehicle revenue miles and the 

number of low-income individuals 

residing on tribal lands (defined as 

American Indian Areas and Alaska 

Native Areas). Eligible direct recipients 

are federally recognized Indian tribes 

and Alaskan Native Villages providing 

public transportation in rural areas. The 

TTP funds are allocated for grants to 

eligible recipients for any purpose 

eligible under Formula Grants for Rural 

Areas Program, which includes capital, 

operating, planning, and job access and 

reverse commute projects. 

For more information about the Tribal 

Transit Program, contact Destiny 

Buchanan at (202) 493–8018 or 

destiny.buchanan@dot.gov. 

1. Authorized Amounts 

Federal public transportation law 

authorizes $35 million in FY 2021 to 

provide assistance to tribes through the 

Public Transportation on Indian 

Reservations formula and competitive 

programs. 

2. FY 2021 Funding Availability 

Under the Consolidated 

Appropriations Act, 2021, $30 million is 

available for the formula program and 

$5 million for the competitive program. 

The total apportioned for the formula 

program is $30,766,775 after the 

addition of reapportioned funds. 

PUBLIC TRANSPORTATION ON INDIAN

RESERVATIONS PROGRAM FORMULA

GRANTS

Total FY 2021 Appropriation 

Available ............................ $30,000,000 

Reapportioned Funds ........... 766,775 

Total Apportioned .............. 30,766,775 

PUBLIC TRANSPORTATION ON INDIAN

RESERVATIONS PROGRAM COMPETITIVE GRANTS

Total FY 2021 Appropriation 

Available ............................ $5,000,000 

Total Apportioned .............. 5,000,000 

3. Period of Availability 

The TTP formula program funds 

apportioned in this notice are available 

for obligation during FY 2021 plus two 

additional fiscal years. Accordingly, 

funds apportioned in FY 2021 must be 

obligated in grants by September 30, 

2023. Any FY 2021 apportioned funds 

that remain unobligated at the close of 

business on September 30, 2023, will 

revert to FTA for reapportionment 

under the TTP formula program. 

Competitive TTP funds are available for 

obligation during the FY in which funds 

are awarded to projects plus two 

additional years. 

J. Public Transportation Innovation (49 

U.S.C. 5312) 

Public Transportation Innovation is 

FTA’s research program with the 

overarching statutory goal to improve 

public transportation. The law specifies 

research focus areas, including 

providing more effective and efficient 

public transportation service; mobility 

management; system capacity; advanced 

vehicle design; asset maintenance; 

construction and project management; 

environment and energy efficiency; and 

safety improvements. FTA may make 

grants, enter into contracts, cooperative 

agreements, and other agreements to 

carry out research, innovative 

development, demonstration, and 

deployment projects, and evaluation 

and research projects of national 

significance to public transportation. 

Within this section are three distinct 

programs: (a) A Research, Development, 

Demonstration, Deployment, and 

Evaluation program (49 U.S.C. 5312(b)– 

(e)); (b) a Low or No Emission Vehicle 

Component Assessment Program (LoNoCAP) (49 U.S.C. 5312(h)); and (c) a 

Transit Cooperative Research Program 

(49 U.S.C. 5312(i)). Eligible recipients 

can be departments, agencies, and 

governmental agencies, including 

Federal laboratories; State and local 

entities; providers of public 

transportation; private or non-profit 

organizations; institutions of higher 

education; and technical community 

colleges. Each program area has specific 

requirements relating to the type of 

organization that may receive a grant or 

enter an agreement. 

The types of research eligible for 

funding are broad and include: 

Opportunities to enhance public 

transportation operational effectiveness 

and efficiency; improve services; 

leverage new types of vehicle 

technologies; utilize transformative 

technologies to improve public 

transportation; field new mobility 

models; and support increased safety. 

In FY 2021, there are two additional 

provisions to further innovative 

mobility. The first is for the 

demonstration and deployment of 

innovative mobility solutions for the 

development of software to facilitate the 

provision of demand-response public 

transportation service that dispatches 

public transportation fleet vehicles 

through riders’ mobile devices or other 

advanced means. Any software 

developed as part of this project will be 

shared for use by public transportation 

agencies. The second provision provides 

funding for a competitive accelerating 

innovative mobility initiative that will 

improve mobility and enhance the rider 

experience with a focus on innovative 

service delivery models, creative 

financing, novel partnerships, and 

integrated payment solutions. 

For more information about the Public 

Transportation Innovation Program 

(Sections 5312(b)–(e) and 5312(i)), 

please contact Adrianne Malasky, Office 


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of Research, Demonstration and 

Innovation at (202) 366–5496 or 

adrianne.malasky@dot.gov. 

For more information about the LoNoCAP program (Section 5312(h)), please 

contact Terrell Williams at (202) 366– 

0232 or terrell.williams@dot.gov. 

1. Authorized Amounts 

Federal public transportation law 

authorizes $30 million in FY 2021 

funding for the Public Transportation 

Innovation Program. 

2. FY 2021 Funding Availability 

Under the Consolidated 

Appropriations Act, 2021, $30 million is 

available for the Public Transportation 

Innovation Program. The total amounts 

apportioned to each subcomponent of 

the program is shown below in the 

table. 

PUBLIC TRANSPORTATION INNOVATION PROGRAM

Research, Development, Demonstration, Deployment, & Evaluation Innovative Mobility Solution ................................................... $20,000,000 

Discretionary Projects Innovative Mobility Solutions ........................................................................................................................... 1,000,000 

Accelerating Innovative Mobility Initiative ............................................................................................................................................ 1,000,000 

Low or No Emission Vehicle Component Testing ............................................................................................................................... 3,000,000 

Transit Cooperative Research Program (TCRP) ................................................................................................................................ 5,000,000 

Total Apportioned ......................................................................................................................................................................... 30,000,000 

3. Period of Availability 

FTA establishes the period in which 

the funds must be obligated to each 

project. If the funds are not obligated 

within that time, they revert to FTA for 

reallocation under the program. 

K. Technical Assistance and Workforce 

Development (49 U.S.C. 5314) 

1. Authorized Amounts 

FTA’s Technical Assistance and 

Workforce Development Program has 

the overarching goals to provide public 

transportation service more effectively 

and efficiently; and improve public 

transportation. Within this section, 

there are four different types of 

programs: Technical assistance; 

standards; training; and human 

resources. The National Transit Institute 

(NTI) is funded under this section (49 

U.S.C. 5314(c)) to develop and conduct 

training and educational programs for 

Federal, State, and local transportation 

employees, United States citizens, and 

foreign nationals engaged or to be 

engaged in Government-aid public 

transportation work. 

For FY 2021, Congress has directed 

$2.5 million for a Transit Workforce 

Development Technical Assistance 

Center, and $1.5 million for a technical 

assistance center to assist small urban, 

rural, and tribal public transit recipients 

and planning organizations with 

applied innovation and capacity 

building. 

2. FY 2021 Funding Availability 

In FY 2021 under the Consolidated 

Appropriations Act, 2021, $16.5 million 

is available for the Technical Assistance 

and Workforce Development program, 

as shown in the table below. Of the 

available amounts, $5 million is 

available for NTI. 

TECHNICAL ASSISTANCE AND

WORKFORCE DEVELOPMENT

Total FY 2021 Appropriation 

Available ............................ $16,500,000 

Total Apportioned .............. 16,500,000 

3. Period of Availability 

FTA establishes the period in which 

the funds must be obligated to each 

project. If the funds are not obligated 

within that time, they revert to FTA for 

reallocation under the program. 

For more information about the 

Technical Assistance and Workforce 

Program, contact Adrianne Malasky, 

Office of Research, Demonstration and 

Innovation at (202) 366–5496 or 

adrianne.malasky@dot.gov. 

L. Public Transportation Emergency 

Relief Program (49 U.S.C. 5324) 

The Public Transportation Emergency 

Relief Program (49 U.S.C. 5324) assists 

transit providers with the costs of 

responding to, recovering from, and 

preparing for natural disasters. This 

program does not receive an annual 

appropriation, and funds that are 

periodically appropriated by Congress 

are typically made available through a 

discretionary grant process. 

For more information about the 

Emergency Relief Program, please 

contact Thomas Wilson at (202) 366– 

5279 or thomas.wilson@dot.gov. 

M. State Safety Oversight Formula 

Program (49 U.S.C. 5329) 

The State Safety Oversight Formula 

Program provides funding to support 

States with rail fixed guideway public 

transportation systems (rail transit 

systems) to develop and carry out State 

Safety Oversight (SSO) Programs 

consistent with the requirements of 49 

U.S.C. 5329. 

For more information about the State 

Safety Oversight Program, please 

contact Patrick Nemons at (202) 366– 

4986 or patrick.nemons@dot.gov. 

1. Authorized Amounts 

Federal public transportation law 

authorizes $24,647,262 in FY 2021 to 

provide funding to support States in 

developing and carrying out the SSO 

Program. 

2. FY 2021 Funding Availability 

Under the Consolidated 

Appropriations Act, 2021, $28,928,494 

is available for the State Safety 

Oversight (SSO) Formula program, 

including reapportioned funds, as 

shown in the table below. 

STATE SAFETY OVERSIGHT FORMULA

PROGRAM

Total FY 2021 Appropriation 

Available ............................ $24,647,262 

Reapportioned Funds ........... 4,281,232 

Total Apportioned .............. 28,928,494 

3. Period of Availability 

SSO Formula Grant program funds are 

available for the year of apportionment 

plus, two additional years. Any FY 2021 

funds that remain unobligated at the 

close of business on September 30, 

2023, will revert to FTA for 

reapportionment under the SSO 

Formula Grant Program. 

N. State of Good Repair Grants Program 

(49 U.S.C. 5337) 

The State of Good Repair Program 

provides financial assistance to 

designated recipients in Urbanized 

Areas (UZAs) with fixed guideway and 

high-intensity motorbus systems for 

capital investments that maintain, 

rehabilitate, and replace aging transit 

assets and bring fixed guideway and 


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high intensity motorbus systems into a 

state of good repair. FTA apportions 

funds for this program through a 

statutory formula using data reported to 

the National Transit Database (NTD). 

For more information about the State 

of Good Repair Program, please contact 

Eric Hu at (202) 366–0870 or eric.hu@

dot.gov. 

1. Authorized Amounts 

Federal public transportation law 

authorizes $2,683,798,369 in FY 2021 

for the State of Good Repair Program. 

2. FY 2021 Funding Availability 

Under the Consolidated 

Appropriations Act, 2021, 

$2,723,798,369 is available for the State 

of Good Repair Program, including an 

additional $40 million from the Transit 

Infrastructure Grants appropriation. The 

total amount apportioned is 

$2,709,868,483 after the deduction for 

oversight and the addition of 

reapportioned funds as shown in the 

table below. Of the total amount 

apportioned, $2,632,637,232 is 

apportioned to the High Intensity Fixed 

Guideway Formula and $77,231,252 is 

apportioned to the High Intensity 

Motorbus Formula. 

STATE OF GOOD REPAIR GRANTS

PROGRAM

Total FY 2021 Appropriation Available ............... $2,723,798,369 

Oversight Deduction ....... (27,237,984) 

Reapportioned Funds ..... 13,308,098 

Total Apportioned ........ 2,709,868,483 

STATE OF GOOD REPAIR GRANTS

PROGRAM

High Intensity Fixed 

Guideway Formula ...... $2,632,637,232 

High Intensity Motorbus 

Formula ....................... 77,231,252 

Total Apportioned ........ 2,709,868,483 

3. Period of Availability 

The State of Good Repair program 

funds apportioned in this notice are 

available for obligation during FY 2021 

plus three additional years. 

Accordingly, funds apportioned in FY 

2021 must be obligated in grants by 

September 30, 2024. Any FY 2021 

apportioned funds that remain 

unobligated at the close of business on 

September 30, 2024, will revert to FTA 

for reappointment under the State of 

Good Repair Program. 

O. Grants for Buses and Bus Facilities 

Program (49 U.S.C. 5339) 

The Grants for Buses and Bus 

Facilities Program provides financial 

assistance to States, local governmental 

entities that operate fixed route bus 

service, and designated recipients for 

capital investments in public 

transportation systems to replace, 

rehabilitate, lease, and purchase buses 

and related equipment and to construct 

bus-related facilities, including 

technological changes or innovations to 

modify low or no emission vehicles or 

facilities. Funding is provided through 

Section 5339(a) formula allocations, 

Section 5339(b) competitive grants, and 

Section 5339(c) competitive low or no 

emission grants. 

For more information about the 

Grants for Buses and Bus Facilities 

Formula Program, please contact 

Alexandria Burns at (202) 366–7464 or 

alexandria.burns@dot.gov. For more 

information about the competitive Low 

or No Emissions Grant Program, please 

contact Amy Volz at (202) 366–7484 or 

amy.volz@dot.gov. For more information 

about the Grants for Buses and Bus 

Facilities Competitive Program please 

contact Thomas Wilson at (202) 366– 

5279 or thomas.wilson@dot.gov. 

1. Authorized Amounts 

Federal public transportation law 

authorizes $808,653,915 in FY 2021 to 

provide financial assistance for Grants 

for Buses and Bus Facilities. Of this 

amount, $464,609,736 is authorized for 

the Grants for Buses and Bus Facilities 

Formula program and $344,044,179 for 

the Grants for Buses and Bus Facilities 

Competitive program, of which $55 

million is available for the Low or No 

Emissions program. 

2. Funding Availability 

Under the Consolidated 

Appropriations Act, 2021, 

$1,176,653,915 is available for Grants 

for Buses and Bus Facilities. Of this 

amount: $592,868,755 is available for 

the Grants for Buses and Bus Facilities 

Formula Program after the deduction for 

oversight and the addition of 

reapportioned funds; $409,588,848 is 

available for the Grants for Buses and 

Bus Facilities Competitive Program after 

the takedown for oversight; and $180 

million is available for the Low or No 

Emission Grants Program. These 

amounts are detailed in the table below. 

FORMULA GRANTS FOR BUSES AND BUS FACILITIES

Total FY 2021 Appropriation Available ............................................................................................................................................ $582,609,736 

Oversight Deduction ........................................................................................................................................................................ (4,369,573) 

Reapportioned Funds ...................................................................................................................................................................... 14,628,592 

Total Apportioned ..................................................................................................................................................................... 592,868,755 

Competitive Grants for Buses and Bus Facilities 

Total FY 2021 Appropriation Available ............................................................................................................................................ 594,044,179 

Oversight Deduction ........................................................................................................................................................................ (4,455,331) 

Less Section 5339(c) Low or No Emission Grants (Competitive) .................................................................................................. (180,000,000) 

Total Apportioned ..................................................................................................................................................................... 409,588,848 

Section 5339(c) Low or No Emission Grants (Competitive) 

Total FY 2021 Appropriation Available ............................................................................................................................................ 180,000,000 

Total Apportioned ..................................................................................................................................................................... 180,000,000 

3. Period of Availability 

The Buses and Bus Facilities program 

formula funds apportioned in this 

notice are available for obligation during 

FY 2021 plus three additional years. 

Accordingly, funds apportioned in FY 

2021 must be obligated in grants by 

September 30, 2024. Any FY 2021 

apportioned funds that remain 


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unobligated at the close of business on 

September 30, 2024, will revert to FTA 

for reapportionment under the Buses 

and Bus Facilities Formula Program. 

Competitive Section 5339(b) and 

5339(c) funds are available for 

obligation during the FY in which funds 

are allocated to projects plus three 

additional years. 

P. Growing States and High-Density 

States Formula Factors (49 U.S.C. 5340) 

Federal public transportation law 

authorizes the use of formula factors to 

distribute additional funds to the 

Section 5307 Urbanized Area Formula 

program and Section 5311 Formula 

Grants for Rural Areas program for 

growing States and high-density States. 

FTA will continue to publish single 

urbanized and rural apportionments 

that show the total amount for Section 

5307 and 5311 programs that includes 

Section 5340 apportionments for these 

programs. 

For more information about this 

program, please contact Alexandria 

Burns at (202) 366–7464 or 

alexandria.burns@dot.gov. 

1. Authorized Amounts 

Federal public transportation law 

authorizes $570,032,917 for 

apportionment in FY 2021 for the 

Growing States and High-Density States 

Formula factors. 

2. FY 2021 Funding Availability 

Under the Consolidated 

Appropriations Act, 2021, $610,032,917, 

including an additional $40 million 

from the transit infrastructure grants 

appropriation, is available for the 

Growing States and High-Density States 

formula. 

GROWING STATES AND HIGH-DENSITY

STATES FORMULA FACTORS

Growing States ..................... $300,668,843 

High-Density States .............. 309,364,074 

Total Apportioned .............. 610,032,917 

3. Basis for Formula Apportionment 

Under the Growing States portion of 

the Section 5340 formula, FTA projects 

each State’s 2025 population by 

comparing each State’s apportionment 

year population (as determined by the 

Census Bureau) to the State’s 2010 

Census population and extrapolating to 

2025 based on each State’s rate of 

population growth between 2010 and 

the apportionment year. Each State 

receives a share of Growing States funds 

based on its projected 2025 population 

relative to the nationwide projected 

2025 population. 

Once each State’s share is calculated, 

funds attributable to that State are 

divided into an urbanized area 

allocation and a non-urbanized area 

allocation based on the percentage of 

each State’s 2010 Census population 

that resides in urbanized and nonurbanized areas. Urbanized Areas 

receive portions of their State’s 

urbanized area allocation based on the 

2010 Census population in that 

urbanized area relative to the total 2010 

Census population in all urbanized 

areas in the State. These amounts are 

added to the Urbanized Area’s Section 

5307 apportionment. The States’ rural 

area allocation is added to the allocation 

that each State receives under the 

Formula Grants for Rural Areas 

Program. 

The High-Density States portion of the 

Section 5340 formula are allocated to 

urbanized areas in States with a 

population density equal to or greater 

than 370 persons per square mile. Based 

on this threshold and 2010 Census data, 

the States that qualify are Maryland, 

Delaware, Massachusetts, Connecticut, 

Rhode Island, New York, and New 

Jersey. The amount of funds provided to 

each of these seven States is allocated 

based on the population density of the 

individual State relative to the 

population density of all seven States. 

Once funds are allocated to each State, 

funds are then allocated to urbanized 

areas within the States based on an 

individual urbanized area’s population 

relative to the population of all 

urbanized areas in that State. 

Q. Washington Metropolitan Area 

Transit Authority Grants 

The Consolidated Appropriations Act, 

2021 provides funding for Washington 

Metropolitan Area Transit Authority 

(WMATA) in the amount of $150 

million for the agency’s Capital 

Improvement Program and preventive 

maintenance projects. This funding is 

administered as if it were provided 

under section 601 of the Passenger Rail 

Investment and Improvement Act of 

2008. 

For more information about the 

Washington Metropolitan Area Transit 

Authority Grants Program, please 

contact Eric Hu, Office of Transit 

Programs, at (202) 366–0870 or eric.hu@

dot.gov, Daniel Koenig, Region III Office, 

at (202) 366–8224 or daniel.koening@

dot.gov, or Kelly Tyler, Region III Office, 

at (202) 366–3267 or kelly.tyler@dot.gov. 

1. FY 2021 Funding Availability 

Under the Consolidated 

Appropriations Act, 2021, $150 million 

is available. The total amount available 

is $148.5 million after the deduction for 

oversight as shown in the table below. 

WASHINGTON METROPOLITAN AREA

TRANSIT AUTHORITY GRANTS

Total FY 2021 Appropriation 

Available ............................ $150,000,000 

Oversight Deduction ............. (1,500,000) 

Total Apportioned .......... 148,500,000 

2. Period of Availability 

Funds appropriated for WMATA 

under the Consolidated Appropriations 

Act, 2021 shall remain available until 

expended. 

R. Coronavirus Response and Recovery 

Supplemental Appropriations Act 

Transit Infrastructure Grants 

1. Funding Availability 

Division M of the Consolidated 

Appropriations Act, 2021 (Pub. L. 116– 

260)—also known as the Coronavirus 

Response and Recovery Supplemental 

Appropriations Act (CRRSAA)—makes 

$14 billion available to support public 

transportation in preventing, preparing 

for, and responding to coronavirus, on 

top of full-year appropriations. These 

Transit Infrastructure Grants include 

$13.26 billion apportioned according to 

the Urbanized Area Formula Program 

(49 U.S.C. 5307) and State of Good 

Repair Program (49 U.S.C. 5337) 

formulas and administered under the 

Urbanized Area Formula Program, $678 

million apportioned according to the 

Formula Grants for Rural Areas (49 

U.S.C. 5311) formula and administered 

under the Formula Grants for Rural 

Areas and Public Transportation on 

Indian Reservations formula programs, 

and $50 million apportioned according 

to the Enhanced Mobility of Seniors and 

Individuals with Disabilities (49 U.S.C. 

5310) formula. 

For more information about 

Urbanized Area Formula CRRSAA 

Transit Infrastructure grants, please 

contact Alexandria Burns at (202) 366– 

7464 or alexandria.burns@dot.gov. 

For more information about Rural 

Area Formula CRRSAA Transit 

Infrastructure grants, please contact 

Sarah Clements at (202) 366–3062 or 

sarah.clements@dot.gov. 

For more information about Enhanced 

Mobility of Seniors and Individuals with 

Disabilities CRRSAA Transit 

Infrastructure grants, please contact 

Marianne Stock at (202) 366–2677 or 

marianne.stock@dot.gov. 


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CRRSAA TRANSIT INFRASTRUCTURE GRANTS

Recipients of Urbanized Area Formula Program ...................................................................................................................... $13,271,310,572 

Recipients of Formula Grants for Rural Areas .......................................................................................................................... 678,654,455 

Recipients of Enhanced Mobility of Seniors and Individuals with Disabilities .......................................................................... 50,034,973 

Program Management and Oversight ....................................................................................................................................... (10,000,000) 

Total Apportioned ............................................................................................................................................................... 13,990,000,000 

2. Apportionment Criteria 

CRRSAA provides the following 

criteria for apportioning Transit 

Infrastructure grants: 

a. Under CRRSAA, $13,261,831,064 is 

available, after excluding $9,479,508 for 

oversight, to be administered under the 

Urbanized Area Formula Program (49 

U.S.C. 5307), but apportioned through 

the formulas of the Urbanized Area 

Formula and the State of Good Repair 

(SGR) Programs in the same ratio as 

funds provided under the Further 

Consolidated Appropriations Act, 2020 

(Pub. L. 116–94; 133 Stat. 2534). When 

this funding is combined with funding 

already received under the CARES Act 

(Pub. L. 116–136; 134 Stat. 599), 

Congress has limited the total amount 

an Urbanized Area may receive to 75 

percent of its 2018 operating expenses 

as reported in the National Transit 

Database; amounts in excess of that will 

be apportioned among urbanized areas 

that have not reached 75 percent of their 

2018 operating costs between CARES 

Act funding and that which would 

otherwise be provided by these Transit 

Infrastructure grants. 

b. Under CRRSAA, $648,169,702 is 

available, after excluding $30 million 

for Public Transportation on Indian 

Reservations and $484,753 for oversight, 

to be apportioned to recipients eligible 

under the Formula Grants for Rural 

Areas Program (49 U.S.C. 5311) in the 

same ratio as funds provided under the 

Further Consolidated Appropriations 

Act, 2020 (Pub. L. 116–94; 133 Stat. 

2534). When this funding is combined 

with funding already received under the 

CARES Act (Pub. L. 116–136; 134 Stat. 

599) for rural operating costs, Congress 

has limited the total amount a State may 

receive for rural operating costs to 125 

percent of the State’s combined 2018 

rural operating costs of the recipients 

and subrecipients in the State; amounts 

in excess of that will be apportioned 

among States that have not reached 125 

percent of their State’s combined rural 

operating costs for 2018 between CARES 

Act funding and that which would 

otherwise be provided by these Transit 

Infrastructure Grants. The $30 million 

for the Public Transportation on Indian 

Reservations formula program is 

apportioned in the same ratio as funds 

provided under the Further 

Consolidated Appropriations Act, 2020 

but without a limitation on 

apportionments based on 2018 

operating expenses. 

c. Under CRRSAA, $49,999,234 is 

available, after excluding $35,739 for 

oversight, to be apportioned to 

recipients eligible under the Enhanced 

Mobility of Seniors and Individuals 

with Disabilities Program (49 U.S. 5310) 

in the same ratio as funds provided 

under the Further Consolidated 

Appropriations Act, 2020 (Pub. L. 116– 

94; 133 Stat. 2534). 

3. Period of Availability 

Funds are available to recipients until 

expended. 

4. Further Conditions 

The following conditions apply to the 

funding provided under CRRSAA and 

unobligated funding previously made 

available under the CARES Act: 

a. Funds are available up to a 100- 

percent Federal share, at the option of 

the recipient, as are any unobligated 

funds previously provided under the 

Enhanced Mobility of Seniors and 

Individuals with Disabilities Program 

(49 U.S.C. 5310) from FY 2021 or 

earlier. 

b. Funds are available for the 

operating expenses of transit agencies 

related to the response to the COVID–19 

public health emergency, including, 

beginning on January 20, 2020, 

reimbursement for operating costs to 

maintain service and lost revenue due to 

the COVID–19 public health emergency, 

including the purchase of personal 

protective equipment, and paying the 

administrative leave of operations or 

contractor personnel due to reductions 

in service. 

c. Funds must be directed, to the 

maximum extent possible, to payroll 

and operations of public transit 

(including payroll and expenses of 

private providers of public 

transportation), unless the recipient 

certifies to the Secretary that the 

recipient has not furloughed any 

employees. 

d. Operating expenses are not 

required to be included in a 

transportation improvement program, 

long range transportation plan, 

statewide transportation plan, or a 

statewide transportation improvement 

program. 

e. Private providers of public 

transportation are considered eligible 

subrecipients. 

S. American Rescue Plan Act of 2021 

Federal Transit Administration Grants 

1. Funding Availability 

Title III Section 3401 of the American 

Rescue Plan Act of 2021 (Pub. L. 117– 

2) (ARP) makes $30.5 billion in 

supplemental appropriations available 

to support the transit industry during 

the COVID–19 pandemic. This funding 

includes $26 billion for eligible 

recipients of Urbanized Area Formula 

Program grants (49 U.S.C. 5307); $275.9 

million for eligible recipients of 

Formula Grants for Rural Areas (49 

U.S.C. 5311); $6.3 million for States for 

the Rural Transit Assistance Program 

(49 U.S.C. 5311(b)(3)); $30 million for 

the Public Transit on Indian 

Reservations Formula Program (49 

U.S.C. 5311(c)(1); $5 million for the 

Public Transit on Indian Reservations 

Competitive Program (49 U.S.C. 

5311(c)(1); $50 million for eligible 

recipients of the Enhanced Mobility of 

Seniors and Individuals with 

Disabilities formula Program (49 U.S.C. 

5310); $100 million for Interstate Bus 

Program (49 U.S.C. 5311(f)) services 

using the Formula Grants for Rural 

Areas (49 U.S.C. 5311) formula; $1.675 

billion for eligible Capital Investment 

Grants (49 U.S.C. 5309); $25 million for 

eligible recipients of the Urbanized Area 

Formula Program (49 U.S.C. 5307) for 

planning the restoration of services 

impacted by the coronavirus public 

health emergency, to be made available 

through a NOFO; and $2.2 billion for 

recipients and subrecipients of the 

Urbanized Area Formula Program and 

Formula Grants for Rural Areas that 

need additional assistance, to be made 

available through a NOFO. A total of 

$1.5 million is available to FTA for 

oversight. 

For more information About 

Urbanized Area Formula ARP Federal 

Transit Administration grants, please 

contact Alexandria Burns at (202) 366– 

7464 or alexandria.burns@dot.gov. 


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For more information about Rural 

Area Formula ARP Federal Transit 

Administration grants, please contact 

Sarah Clements at (202) 366–3062 or 

sarah.clements@dot.gov. 

For more information about Enhanced 

Mobility of Seniors and Individuals with 

Disabilities ARP Federal Transit 

Administration grants, please contact 

Destiny Buchanan at (202) 493–8018 or 

destiny.buchanan@dot.gov. 

AMERICAN RESCUE PLAN ACT

Recipients of Urbanized Area Formula Program ........................................................................................................................ $26,086,580,227 

Recipients of Formula Grants for Rural Areas ............................................................................................................................ 275,869,733 

Rural Transit Assistance Program ............................................................................................................................................... 6,344,280 

Tribal Transit Program (formula and discretionary) .................................................................................................................... 35,000,000 

Recipients of Enhanced Mobility of Seniors and Individuals with Disabilities ............................................................................ 50,000,000 

Interstate Bus Program ................................................................................................................................................................ 100,000,000 

Recipients of Capital Investment Grant Program ........................................................................................................................ 1,675,000,000 

Urbanized Area Planning ............................................................................................................................................................. 25,000,000 

Additional Assistance (Discretionary) .......................................................................................................................................... 2,207,561,294 

Program Management and Oversight ......................................................................................................................................... (1,467,770) 

Total Apportioned ................................................................................................................................................................. 30,459,887,764 

2. Apportionment Criteria 

ARP provides the following criteria 

for apportioning Federal Transit 

Administration Grants: 

a. $26,085,112,457 is available, after 

excluding $1,467,770 for oversight, to be 

administered under the Urbanized Area 

Formula Program (49 U.S.C. 5307) and 

apportioned using National Transit 

Database information, such that each 

urbanized area is apportioned an 

amount that—when combined with any 

funding it may have received through 

the Coronavirus Aid, Relief, and 

Economic Security (CARES) Act and 

Coronavirus Response and Relief 

Supplemental Appropriations Act 

(CRRSAA) to prevent, prepare for, and 

respond to coronavirus—is equal to 132 

percent of the urbanized area’s 2018 

operating costs. Any remaining funds 

are then apportioned to those urbanized 

areas that had already received 132 

percent or more of their 2018 operating 

expenses through combined CARES Act 

and CRRSAA funding, such that each 

receives an apportionment equal to 25 

percent of its 2018 operating costs. 

b. $275,869,733 is available to be 

apportioned to recipients eligible under 

the Formula Grants for Rural Areas 

Program (49 U.S.C. 5311) and is 

apportioned as follows. Considering the 

total amount previously received by a 

State through the CARES Act and 

CRRSAA to prevent, prepare for, and 

respond to coronavirus, States that have 

already received 150 percent or more of 

the combined 2018 rural operating costs 

of the recipients and subrecipients in 

the State are apportioned 5 percent of 

2018 operating costs; States that have 

already received between 140 and 150 

percent of 2018 operating costs are 

apportioned 10 percent of 2018 

operating costs; and States that have 

received less than 140 percent of 2018 

operating costs are apportioned 20 

percent of 2018 operating costs. 

c. $30,000,000 is available for Public 

Transportation on Indian Reservations 

formula grants (49 U.S.C. 5311(c)(1)(B)), 

and $5,000,000 for Public 

Transportation on Indian Reservations 

discretionary grants (49 U.S.C. 

5311(c)(1)(A)). The formula funding is 

distributed according to the same 

formula and data as the FY 2021 

apportionment for the Tribal formula 

program. The discretionary funds will 

be made available through a NOFO. 

d. $6,344,280 is available to States for 

purposes eligible under the Rural 

Transit Assistance Program (49 U.S.C. 

5311(b)(3)). 

e. $50,000,000 is available to be 

apportioned to recipients eligible under 

the Enhanced Mobility of Seniors and 

Individuals with Disabilities Program 

(49 U.S.C. 5310) in the same ratio as 

funds provided under the Further 

Consolidated Appropriations Act, 2020 

(Pub. L. 116–94; 133 Stat. 2534). 

f. $1,675,000,000 is available for 

recipients and subrecipients of the 

Capital Investment Grant (CIG) (49 

U.S.C. 5309) program. Of the total 

amount appropriated for CIG recipients, 

$1,250,000,000 is designated for those 

with New Starts (Section 5309(d)) and 

Core Capacity (Section 5309(e)) projects 

that have existing full funding grant 

agreements and that received allocations 

for FY 2019 or FY 2020, except those 

with projects that are open for revenue 

service. These funds are apportioned 

based on the non-CIG share of the 

amounts allocated. Of the total amount 

appropriated for CIG recipients, 

$175,000,000 is designated for those 

with New Starts and Core Capacity 

projects that have an existing full 

funding grant agreement and that 

received an allocation only prior to FY 

2019, except those with projects that are 

open for revenue service. These funds 

are apportioned based on the nonCapital Investment Grants program 

share of the amounts allocated, except 

that no project may receive more than 

40 percent of the total $175,000,000 

provided. Any funds that remain due to 

this limitation are apportioned to those 

projects that do not exceed 40 percent 

of the total funding. Of the total amount 

appropriated for CIG projects, 

$250,000,000 is designated for those 

with Small Starts (Section 5309(h)) 

projects. 

g. $100,000,000 is available to States 

to support bus operators that partner 

with recipients or subrecipients to 

provide Interstate Bus service under 49 

U.S.C. 5311(f). These funds are allocated 

using the same ratio as the Formula 

Grants for Rural Areas (49 U.S.C. 5311) 

FY 2020 appropriations. States that do 

not have eligible bus operators may use 

the apportioned funds for any expense 

eligible under 49 U.S.C. 5311, but these 

funds are not subject to the exception in 

49 U.S.C. 5311(f)(2) that allows the 

Governor of a recipient states to certify 

that the state’s interstate bus service 

needs are already being met. 

h. $25,000,000 is available to 

recipients eligible under the Urbanized 

Area Formula Program (49 U.S.C. 5307) 

for the planning of public transportation 

associated with the restoration of 

services as the coronavirus public 

health emergency concludes. These 

funds will be made available through a 

NOFO. 

g. $2,207,561,294 is available to 

recipients and subrecipients eligible 

under the Urbanized Area Formula 

Program (49 U.S.C. 5307) and Formula 

Grants for Rural Areas Program (49 

U.S.C. 5311) that, as a result of the 

COVID–19 health emergency, require 

additional assistance for costs related to 

operations, personnel, cleaning, and 

sanitization combating the spread of 


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pathogens on transit systems, and debt 

service payments incurred to maintain 

operations and avoid layoffs and 

furloughs. These funds will be made 

available through a NOFO no later than 

180 days after ARP was enacted. 

3. Period of Availability 

Funds are available until September 

30, 2024, and may not be reapportioned. Funds must be expended 

by September 30, 2029. Any funds not 

disbursed by September 30, 2029, will 

be deobligated from a grant and 

returned to the Treasury. 

4. Further Conditions 

The following conditions apply to the 

funding provided under ARP: 

a. Funds are available up to a 100- 

percent Federal share, at the option of 

the recipient. 

b. All funds except those for Capital 

Investment Grants, Rural Transit 

Assistance Program grants, and 

Planning Grants are available for the 

operating expenses of transit agencies to 

prevent, prepare for, and respond to the 

coronavirus public health emergency, 

including, beginning on January 20, 

2020: Reimbursement for payroll of 

public transportation (including payroll 

and expenses of private providers of 

public transportation); operating costs to 

maintain service due to lost revenue as 

a result of the coronavirus public health 

emergency, including the purchase of 

personal protective equipment; and 

paying the administrative leave of 

operations or contractor personnel due 

to reductions in service. 

c. Except for Capital Investment 

grants, Rural Transit Assistance Program 

grants, and Planning grants, funds must 

be directed to payroll and operations of 

public transit (including payroll and 

expenses of private providers of public 

transportation), unless the recipient 

certifies to the Administrator of the 

Federal Transit Administration that the 

recipient has not furloughed any 

employees. 

d. Operating expenses are not 

required to be included in a 

transportation improvement program, 

long range transportation plan, 

statewide transportation plan, or a 

statewide transportation improvement 

program. 

V. FY 2021 Grants 

A. Automatic Pre-Award Authority To 

Incur Project Costs 

1. Caution to New Recipients 

While FTA provides pre-award 

authority to incur expenses before grant 

award for formula programs, it 

recommends that first-time grant 

recipients NOT utilize this automatic 

pre-award authority without verifying 

with the appropriate FTA Regional 

Office that all prerequisite requirements 

have been met. Commonly, a new 

recipient may misunderstand pre-award 

authority conditions and be unaware of 

all the applicable FTA requirements that 

must be met in order to be reimbursed 

for project expenditures incurred in 

advance of grant award. FTA programs 

have specific statutory requirements 

that are often different from those for 

other Federal grant programs with 

which new recipients may be familiar. 

If funds are expended for an ineligible 

project or activity, or for an eligible 

activity but at an inappropriate time 

(e.g., prior to NEPA completion), FTA 

will be unable to reimburse the project 

sponsor and, in certain cases, the entire 

project may be rendered ineligible for 

FTA assistance. 

2. Policy 

FTA provides pre-award authority to 

incur expenses before grant award for 

certain program areas described below. 

This pre-award authority allows 

recipients to incur certain project costs 

before grant approval and retain the 

eligibility of those costs for subsequent 

reimbursement after grant approval. The 

recipient assumes all risk and is 

responsible for ensuring that all 

conditions are met to retain eligibility. 

This pre-award spending authority 

permits an eligible recipient to incur 

costs on an eligible transit capital, 

operating, planning, or administrative 

project without prejudice to possible 

future Federal participation in the cost 

of the project. 

In this notice, FTA provides preaward authority through the 

authorization period of the FAST Act, 

including the extension authorized in 

the Continuing Appropriations Act, 

2021 and Other Extensions Act, plus an 

additional year (October 1, 2015, 

through September 30, 2022) for capital 

assistance under all formula programs, 

so long as the conditions described 

below are met. 

FTA provides pre-award authority for 

planning and operating assistance under 

the formula programs without regard to 

the period of the authorization. All preaward authority is subject to conditions 

and triggers stated below: The actual 

items of cost associated with the use of 

pre-award authority are documented in 

the initial Federal Financial Report 

(FFR) that is required to be completed 

prior to the recipient executing the 

award. 

For projects funded by competitive 

programs, pre-award authority may be 

granted at the time of project selection. 

a. Operating, Planning, or 

Administrative Assistance 

FTA does not impose additional 

conditions on pre-award authority for 

operating, planning, or administrative 

assistance under the formula grant 

programs. Recipients may be 

reimbursed for expenses incurred before 

grant award so long as funds have been 

expended in accordance with all 

Federal requirements, would have been 

allowable if incurred after the date of 

award, and the recipient is otherwise 

eligible to receive the funding. In 

addition to cross-cutting Federal grant 

requirements, program specific 

requirements must be met. Designated 

recipients for Section 5310 funds have 

pre-award authority for the ten percent 

of the apportionment they may use for 

program administration. 

b. Transit Capital Projects Other Than 

Capital Investment Grants 

For transit capital projects, the date 

that costs may be incurred varies 

depending on the type of activity and its 

potential to have a significant impact on 

the human and natural environment as 

described under conditions in section 3 

below. 

c. Public Transportation Innovation, 

Technical Assistance and Workforce 

Development 

Unless provided for in an 

announcement of project selections, preaward authority does not apply to 

Section 5312 Public Transportation 

Innovation projects or Section 5314 

Technical Assistance and Workforce 

Development projects. Before an 

applicant may incur costs for activities 

under these programs, it must first 

obtain a written Letter of No Prejudice 

(LONP) from FTA. Information about 

LONP procedures may be obtained from 

Lisa Colbert in FTA’s Office of Research, 

Demonstration, and Innovation (TRI): 

Lisa.Colbert@dot.gov, or call 202–366– 

9261. 

3. Conditions 

The conditions under which preaward authority may be utilized are 

specified below: 

a. Pre-award authority is not a legal or 

implied commitment that the subject 

project will be approved for FTA 

assistance or that FTA will obligate 

Federal funds. Furthermore, it is not a 

legal or implied commitment that all 

items undertaken by the applicant will 

be eligible for inclusion in the project. 

b. All FTA statutory, procedural, and 

contractual requirements must be met. 

c. No action will be taken by the 

recipient that prejudices the legal and 


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administrative findings that FTA must 

make in order to approve a project. 

d. Local funds expended by the 

recipient after the date of the pre-award 

authority will be eligible for credit 

toward local match or reimbursement if 

FTA later makes a grant or grant 

amendment for the project. Local funds 

expended by the recipient before the 

date of the pre-award authority will not 

be eligible for credit toward local match 

or reimbursement. Furthermore, the 

expenditure of local funds or the 

undertaking of certain activities that 

would compromise FTA’s ability to 

comply with Federal environmental 

laws (e.g., project implementation 

activities such as land acquisition, 

demolition, or construction before the 

date of pre-award authority) may render 

the project ineligible for FTA funding. 

e. The Federal amount of any future 

FTA assistance awarded to the recipient 

for the project will be determined based 

on the overall scope of activities and the 

prevailing statutory provisions with 

respect to the Federal/local match ratio 

at the time the funds are obligated. 

f. For funds to which the pre-award 

authority applies, the authority expires 

with the lapsing of the fiscal year funds. 

g. When a grant for the project is 

subsequently awarded, the grant must 

indicate the use of pre-award authority 

and an initial Federal Financial Report 

must be submitted in TrAMS. 

h. Environmental Requirements 

All Federal environmental 

requirements must be met at the 

appropriate time for a project to remain 

eligible for Federal funding. Designated 

recipients may incur costs for design 

and environmental review activities for 

all formula funded projects from the 

date of the authorization of the formula 

funds or for discretionary funded 

projects other than those funded by the 

Capital Investment Grants (CIG) 

program from the date of the 

announcement of the competitive 

allocation of funds for the project. 

For projects that qualify for a 

categorical exclusion (CE) pursuant to 

23 CFR 771.118(c), designated 

recipients may start activities and incur 

costs under pre-award authority for 

property acquisition, demolition, 

construction, and acquisition of 

vehicles, equipment, or construction 

materials from the date of the 

authorization of formula funds or the 

date of the announcement of 

competitive allocations for the project. 

FTA recommends that a grant 

applicant considering a CE pursuant to 

23 CFR 771.118(c) contact the 

appropriate FTA Regional Office for 

assistance in determining the proper 

environmental review process, 

including other applicable 

environmental laws, and level of 

documentation necessary before 

incurring the above-mentioned costs. 

This applies especially when the grant 

applicant believes a c-list CE with 

construction activities, such as 23 CFR 

771.118(c)(8), (9), (10), (12), or (13), 

applies to its project. If FTA 

subsequently finds that a project does 

not qualify for a CE under 23 CFR 

771.118(c) and the sponsor has already 

undertaken activities under pre-award 

authority, the project will be ineligible 

for FTA assistance. 

For all other non-CIG projects that do 

not qualify for a CE under 23 CFR 

771.118(c), grant applicants may take 

action and incur costs for property 

acquisition, demolition, construction, 

and acquisition of vehicles, equipment, 

or construction materials from the date 

that FTA completes the environmental 

review process required by NEPA and 

its implementing regulations, 23 U.S.C. 

139, and other environmental laws, by 

its issuance of a 23 CFR 771.118(d) CE 

determination, a finding of no 

significant impact (FONSI), a combined 

final environmental impact statement 

(FEIS)/record of decision (ROD), or a 

ROD. 

i. Planning and Other Requirements 

Formula funds must be authorized or 

appropriated and competitive project 

allocations published or announced 

before pre-award authority can be 

considered. The requirements that a 

capital project be included in a locally 

adopted Metropolitan Transportation 

Plan, the metropolitan transportation 

improvement program, and the federally 

approved statewide transportation 

improvement program (23 CFR part 450) 

must be satisfied before the recipient 

may advance the project beyond 

planning and preliminary design with 

non-federal funds under pre-award 

authority. If the project is located within 

an EPA-designated non-attainment or 

maintenance area for air quality, the 

conformity requirements of the Clean 

Air Act, 40 CFR part 93, must also be 

met before the project may be advanced 

into implementation-related activities 

under pre-award authority triggered by 

the completion of the NEPA process. 

For a planning project to have preaward authority, the planning project 

must be included in an MPO-approved 

UPWP that has been coordinated with 

the State. 

j. Federal procurement procedures, as 

well as the whole range of applicable 

Federal requirements (e.g., Buy 

America, Davis-Bacon Act, and 

Disadvantaged Business Enterprise) 

must be followed for projects in which 

Federal funding will be sought in the 

future. Failure to follow any such 

requirements could make the project 

ineligible for Federal funding. In short, 

the administrative flexibility allowed by 

pre-award authority requires a recipient 

to make certain that no Federal 

requirements are circumvented. 

k. All program specific requirements 

must be met. For example, projects 

under Section 5310 must comply with 

specific program requirements, 

including coordinated planning. Before 

incurring costs, recipients are strongly 

encouraged to consult with the 

appropriate FTA Regional Office 

regarding the eligibility of the project for 

future FTA funds and for questions on 

environmental requirements, or any 

other Federal requirements that must be 

met. 

4. Pre-Award Authority for the Fixed 

Guideway Capital Investment Grants 

Program 

Projects proposed for Section 5309 

CIG program funds are required to 

follow a multi-step, multi-year process 

defined in law. For New Starts and Core 

Capacity projects, this process includes 

three phases: Project development (PD), 

engineering, and construction. For 

Small Starts projects, this process 

includes two phases: PD and 

construction. After receiving a letter 

from the project sponsor requesting 

entry into the PD phase, FTA must 

respond in writing within 45 days 

whether the information was sufficient 

for entry. If FTA’s correspondence 

indicates the information was sufficient 

and the New Starts, Small Starts or Core 

Capacity project enters PD, FTA extends 

pre-award authority at that time to the 

project sponsor to incur costs for PD 

activities. PD activities include the work 

necessary to complete the 

environmental review process and as 

much engineering and design activities 

as the project sponsor believes are 

necessary to support the environmental 

review process. Upon completion of the 

environmental review process with a 

combined FEIS/ROD, ROD, FONSI, or 

CE determination by FTA for a New 

Starts, Small Starts, or Core Capacity 

Improvement project, FTA extends preaward authority to the project sponsor 

to incur costs for as much engineering 

and design as needed to develop a 

reasonable cost estimate and financial 

plan for the project, utility relocation, 

and real property acquisition and 

associated relocations for any property 

acquisitions not already accomplished 

as a separate project for hardship or 

protective purposes or right-of-way 

under 49 U.S.C. 5323(q). 


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For Small Starts projects, upon 

completion of the environmental review 

process and confirmation from FTA that 

the overall project rating is at least a 

Medium, FTA extends pre-award 

authority for vehicle purchases. Upon 

receipt of a letter notifying a New Starts 

or Core Capacity project sponsor of the 

project’s approval into the engineering 

phase, FTA extends pre-award authority 

for vehicle purchases as well as any 

remaining engineering and design, 

demolition, and procurement of long 

lead items for which market conditions 

play a significant role in the acquisition 

price. The long lead items include, but 

are not limited to, procurement of rails, 

ties, and other specialized equipment, 

and commodities. 

Please contact the FTA Regional 

Office for a determination of activities 

not listed here, but which meet the 

intent described above. FTA provides 

this pre-award authority in recognition 

of the long lead time and complexity 

involved with purchasing vehicles as 

well as their relationship to the ‘‘critical 

path’’ project schedule. FTA cautions 

recipients that do not currently operate 

the type of vehicle proposed in the 

project about exercising this pre-award 

authority. FTA encourages these 

sponsors to wait until later in the 

process when project plans are more 

fully developed. FTA reminds project 

sponsors that the procurement of 

vehicles must comply with all Federal 

requirements, including, but not limited 

to, competitive procurement practices, 

the Americans with Disabilities Act, 

Disadvantaged Business Enterprise 

program requirements and Buy 

America. FTA encourages project 

sponsors to discuss the procurement of 

vehicles with FTA in regard to Federal 

requirements before exercising preaward authority. Because there is not a 

formal engineering phase for Small 

Starts projects, FTA does not extend 

pre-award authority for demolition and 

procurement of long lead items. Instead, 

this work must await receipt of a 

construction grant award or an 

expedited grant agreement. 

a. Real Property Acquisition 

As stated above, FTA extends preaward authority for the acquisition of 

real property and real property rights for 

CIG projects (New or Small Starts or 

Core Capacity) upon completion of the 

environmental review process for that 

project. The environmental review 

process is completed when FTA signs a 

combined FEIS/ROD, ROD, FONSI, or 

makes a CE determination. With the 

limitations and caveats described below, 

real estate acquisition may commence, 

at the project sponsor’s risk. To 

maintain eligibility for a possible future 

FTA grant award, any acquisition of real 

property or real property rights must be 

conducted in accordance with the 

requirements of the Uniform Relocation 

Assistance and Real Property 

Acquisition Policies Act (URA) and its 

implementing regulations, 49 CFR part 

24. This pre-award authority is strictly 

limited to costs incurred: (i) To acquire 

real property and real property rights in 

accordance with the URA regulation; 

and (ii) to provide relocation assistance 

in accordance with the URA regulation. 

This pre-award authority is limited to 

the acquisition of real property and real 

property rights that are explicitly 

identified in the draft environmental 

impact statement (DEIS), FEIS, 

environmental assessment (EA), or CE 

documentation, as needed for the 

selected alternative that is the subject of 

the FTA-signed combined FEIS/ROD, 

ROD, FONSI, or CE determination. This 

pre-award authority regarding property 

acquisition that is granted at the 

completion of the environmental review 

process does not cover site preparation, 

demolition, or any other activity that is 

not strictly necessary to comply with 

the URA, with one exception—namely 

when a building that has been acquired, 

vacated, and awaits demolition poses a 

potential fire safety hazard or other 

hazard to the community in which it is 

located, or is susceptible to 

unauthorized occupants. Demolition of 

the building is also covered by this preaward authority upon FTA’s written 

agreement that the adverse condition 

exists. Pre-award authority for property 

acquisition is also provided when FTA 

makes a CE determination for a 

protective buy or hardship acquisition 

in accordance with 23 CFR 

771.118(d)(3). Pre-award authority for 

property acquisition is also provided 

when FTA completes the environmental 

review process for the acquisition of 

right-of-way as a separate project in 

accordance with 49 U.S.C. 5323(q). 

When a tiered environmental review in 

accordance with 23 CFR 771.111(g) is 

used, pre-award authority is NOT 

provided upon completion of the firsttier environmental document except 

when the Tier-1 ROD or FONSI signed 

by FTA explicitly provides such preaward authority for a particular, 

identified acquisition. Project sponsors 

should use pre-award authority for real 

property acquisition relocation 

assistance with a clear understanding 

that it does not constitute a funding 

commitment by FTA. FTA provides preaward authority upon completion of the 

environmental review process for real 

property acquisition and relocation 

assistance for displaced persons and 

businesses in accordance with the 

requirements of the URA. 

b. Reimbursement of Costs Incurred 

Under Pre-Award Authority 

Although FTA provides pre-award 

authority for property acquisition, long 

lead items, demolition, utility 

relocation, and vehicle purchases upon 

completion of the environmental review 

process, FTA does not award Federal 

funding for these activities conducted 

under pre-award authority until the 

project receives a CIG program 

construction grant. This is to ensure that 

Federal funds are not risked on a project 

whose advancement into construction is 

not yet assured. 

c. National Environmental Policy Act 

(NEPA) Activities 

NEPA requires that certain projects 

proposed for FTA funding assistance be 

subjected to a public and interagency 

review of the need for the project, its 

environmental and community impacts, 

and alternatives to avoid and reduce 

adverse impacts. Projects of more 

limited scope also need a level of 

environmental review to determine 

whether there are significant 

environmental impacts or confirmation 

that a CE applies. FTA’s regulation 

titled ‘‘Environmental Impact and 

Related Procedures,’’ at 23 CFR part 771 

states that the costs incurred by a grant 

applicant for the preparation of 

environmental documents requested by 

FTA are eligible for FTA financial 

assistance (23 CFR 771.105(f)). 

Accordingly, FTA extends pre-award 

authority for costs incurred to comply 

with NEPA regulations and to conduct 

NEPA-related activities, effective as of 

the earlier of the following two dates: (1) 

The date of the Federal approval of the 

relevant STIP or STIP amendment that 

includes the project or any phase of the 

project, or that includes a project 

grouping under 23 CFR 450.216(j) that 

includes the project; or (2) the date that 

FTA approves the project into the 

project development phase of the CIG 

program. The grant applicant must 

notify the appropriate FTA Regional 

Office to initiate the Federal 

environmental review process 

consistent with 23 CFR 771.111. NEPArelated activities include, but are not 

limited to, public involvement 

activities, historic preservation reviews, 

Section 4(f) evaluations, wetlands 

evaluations, and endangered species 

consultations. This pre-award authority 

is strictly limited to costs incurred to 

conduct the NEPA process and 

associated engineering, and to prepare 

environmental, historic preservation 


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and related documents. When a New 

Starts, Small Starts, or Core Capacity 

project is granted pre-award authority 

for the environmental review process, 

the reimbursement for NEPA activities 

conducted under pre-award authority 

may be sought at any time through 

Section 5307 (Urbanized Area Formula 

Program) or the flexible highway 

programs (e.g., Surface Transportation 

Program or Congestion Mitigation and 

Air Quality Improvement Program). 

Reimbursement from the Section 5309 

CIG program for NEPA activities 

conducted under pre-award authority is 

provided only for expenses incurred 

after entry into the project development 

phase and only once a construction 

grant agreement is signed. As with any 

pre-award authority, FTA 

reimbursement for costs incurred is not 

guaranteed and recipients may not start 

activities and incur costs under preaward authority for property 

acquisition, demolition, construction, 

and acquisition of vehicles, equipment, 

or construction materials until the 

environmental review process is 

complete. 

d. Other Activities Requiring Letter of 

No Prejudice (LONP). 

Except as discussed in paragraphs a. 

through c. above, a CIG project sponsor 

must obtain a written LONP from FTA 

before incurring costs for any activity 

not covered by pre-award authority. To 

obtain an LONP, an applicant must 

submit a written request accompanied 

by adequate information and 

justification to the appropriate FTA 

Regional Office, as described in B. 

below. 

For more information about the Fixed 

Guideway Capital Investment Grants 

program, including LONP policy, real 

property acquisition, and 

reimbursement of costs incurred under 

Pre-Award Authority, contact Elizabeth 

Day, Office of Capital Project 

Development, at (202) 366–5159 or 

elizabeth.day@dot.gov. 

For more information about FTA’s 

National Environmental Policy Act 

(NEPA) activities, contact Megan Blum, 

Office of Environmental Programs, at 

(202) 366–0463 or megan.blum@dot.gov. 

5. Pre-Award Authority for the 

Expedited Project Delivery (EPD) Pilot 

Program 

The EPD Pilot Program, as authorized 

by Section 3005(b) of the Fixing 

America’s Surface Transportation Act 

(FAST Act), is aimed at expediting 

delivery of new fixed guideway capital 

projects, small starts projects, or core 

capacity improvement projects. Section 

3005(b) requires the FTA to notify 

Congress and the applicant, in writing, 

within 120 days after the receipt of a 

complete application, on the decision of 

the application. FTA will extend preaward authority for all eligible project 

costs at the time it is announced that a 

project has been selected. There is no 

pre-award authority provided until a 

project selection announcement is 

made, and costs incurred prior to 

project selection are not eligible. Letters 

of No Prejudice will not be provided for 

the EPD Pilot Program, as all eligible 

costs are covered by pre-award authority 

at the time of project selection. 

Although FTA provides pre-award 

authority for eligible project costs, FTA 

does not award Federal funding for 

these activities conducted under preaward authority until the project 

receives an EPD construction grant. This 

is to ensure that Federal funds are not 

risked on a project whose advancement 

into construction is not yet assured. To 

maintain eligibility for a possible future 

FTA grant award, any acquisition of real 

property or real property rights must be 

conducted in accordance with the 

requirements of the Uniform Relocation 

Assistance and Real Property 

Acquisition Policies Act (URA) and its 

implementing regulations, 49 CFR part 

24. 

For more information about the 

Expedited Project Delivery Pilot 

Program, contact Mark Ferroni, Office of 

Planning and Environment, at (202) 

366–3233 or mark.ferroni@dot.gov. 

B. Letter of No Prejudice (LONP) Policy 

1. Policy 

LONP authority allows an applicant 

to incur costs on a project utilizing nonFederal resources, with the 

understanding that the costs incurred 

subsequent to the issuance of the LONP 

may be reimbursable as eligible 

expenses or eligible for credit toward 

the local match should FTA approve the 

project for a grant award at a later date. 

LONPs are applicable to projects and 

project activities not covered by 

automatic pre-award authority. The 

majority of LONPs will be for Section 

5309 CIG program projects undertaking 

activities not covered under automatic 

pre-award authority. LONPs may be 

issued for formula funds beyond the life 

of the current authorization or FTA’s 

extension of automatic pre-award 

authority; however, the LONP is limited 

to a five-year period, unless otherwise 

authorized in the LONP. Receipt of 

Federal funding under any program is 

not implied or guaranteed by an LONP. 

2. Conditions and Federal Requirements 

The conditions and requirements for 

pre-award authority specified in section 

V.A.4.b and V.A.4.c above apply to all 

LONPs for the CIG program. Because 

project implementation activities may 

not be initiated before completion of the 

environmental review process, FTA will 

not issue an LONP for such activities 

until the environmental review process 

has been completed with a combined 

FEIS/ROD, ROD, FONSI, or CE 

determination. 

3. Request for LONP 

Before incurring costs for project 

activities not covered by automatic preaward authority, the project sponsor 

must first submit a written request for 

an LONP, accompanied by adequate 

information and justification, to the 

appropriate regional office and obtain 

written approval from FTA. FTA 

approval of an LONP is determined on 

a case-by-case basis. Federal funding 

under the CIG program is not implied or 

guaranteed by an LONP. Specifically, 

when requesting an LONP, the applicant 

shall provide the following items: 

a. Description of the activities to be 

covered by the LONP. 

b. Justification for advancing the 

identified activities. The justification 

should include an accurate assessment 

of the consequences to the project 

scope, schedule, and budget should the 

LONP not be approved. 

c. Allocated level of risk and 

contingency for the activity requested. 

C. FY 2021 Annual List of Certifications 

and Assurances 

Section 5323(n) requires FTA to 

publish annually a list of all 

certifications required under Chapter 53 

concurrently with the publication of 

this annual apportionment notice. The 

2021 version of FTA’s Certifications and 

Assurances is available on FTA’s 

website. FTA cannot make an award or 

an amendment to an award unless the 

recipient has executed the latest version 

of FTA’s Certifications and Assurances. 

FTA encourages recipients of formula 

funding to execute the new 

Certifications and Assurances within 90 

days of this notice, to prevent any delay 

to application processing. 

D. Civil Rights Requirements 

1. Civil Rights Overview 

Recipients must carry out provisions 

of the Americans with Disabilities Act 

(ADA) of 1990, Section 504 of the 

Rehabilitation Act of 1973, as amended, 

and the Department of Transportation’s 

implementing regulations at 49 CFR 

parts 27, 37, 38, and 39. FTA’s ADA 


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Circular (4710.1) provides guidance for 

carrying out the regulatory requirements 

of the ADA. In addition, recipients must 

regularly prepare and submit in TrAMS 

civil rights program plans and reports to 

establish voluntary compliance and 

document policies and practices in the 

following areas: 

a. Title VI of the Civil Rights Act of 

1964: The Department of 

Transportation’s Title VI implementing 

regulations are found in 49 CFR part 21. 

FTA’s Title VI Circular (4702.1B) 

provides guidance for carrying out the 

regulatory requirements and outlines 

the Title VI program submission 

process. 

b. Disadvantaged Business Enterprise 

(DBE) program: The Department of 

Transportation’s DBE implementing 

regulations are found in 49 CFR part 26 

and sets forth requirements for 

implementing the DBE program in good 

faith and developing and reporting on 

the triennial DBE goal. 

c. Title VII of the Civil Rights Act of 

1964, Equal Employment Opportunity 

(EEO): The Department of 

Transportation’s EEO implementing 

regulations are found in 49 CFR part 21. 

FTA’s EEO Circular (4704.1A) provides 

guidance for carrying out the regulatory 

requirements and outlines the EEO 

program submission process. 

2. Disadvantaged Business Enterprise 

Program 

Recipients are expected to comply 

with the Disadvantaged Business 

Enterprise (DBE) regulations, including 

when exercising pre-award authority 

and purchasing transit vehicles. The 

COVID–19 pandemic has created 

challenges for many, including 

recipients and small businesses, such as 

DBEs. The Department of 

Transportation has emphasized the 

value and integrity of the DBE program 

while offering appropriate flexibility to 

recipients during the COVID–19 

pandemic, currently in effect until June 

30, 2021. For more information, see: 

https://www.transportation.gov/ 

mission/civil-rights/covid-19-guidance. 

Recipients will find additional 

information on DBE in FTA’s COVID–19 

FAQs CR11, CR12 and CR13 at 

www.transit.dot.gov/coronavirus. 

3. Title VI Service Equity Analyses 

Under FTA’s Title VI Circular 

(4702.1B), transit providers that operate 

50 or more fixed route vehicles in peak 

service and are located in an urbanized 

area (UZA) with a population of 200,000 

or more must perform a service equity 

analysis whenever they make a 

permanent major service change. When 

a full equity analysis is not required due 

to the size of the recipient or duration 

of a change, FTA expects agencies to 

take steps to ensure changes are 

equitable and nondiscriminatory. 

FTA has not waived Title VI 

requirements for recipients during the 

COVID–19 pandemic. In addition to 

Circular 4702.1B, recipients will find 

information on equity analysis 

requirements in FTA’s COVID–19 FAQs 

CR2 and CR15 at www.transit.dot.gov/ 

coronavirus. 

E. Consolidated Planning Grants 

FTA and FHWA planning funds 

under both the Metropolitan Planning 

and State Planning and Research 

Programs can be consolidated into a 

single consolidated planning grant, 

awarded by either FTA or FHWA. The 

Consolidated Planning Grants (CPG) 

eliminate the need to monitor 

individual fund sources, if several have 

been used, and ensures that the oldest 

funds will always be used first. 

Under the CPG, States can report 

metropolitan planning program 

expenditures, to comply with the 

Uniform Guidance 2 CFR part 200, 

subpart F, for both FTA and FHWA 

under the Catalogue of Federal Domestic 

Assistance number for FTA’s 

Metropolitan Planning Program 

(20.505). Additionally, for States with 

an FHWA Metropolitan Planning (PL) 

fund-matching ratio greater than 80 

percent, the State can waive the 20 

percent local share requirement, with 

FTA’s concurrence, to allow FTA funds 

used for metropolitan planning in a CPG 

to be granted at the higher FHWA rate. 

For some States, this Federal match rate 

can exceed 90 percent. 

States interested in transferring 

planning funds between FTA and 

FHWA should contact the FTA Regional 

Office or FHWA Division Office for 

more detailed procedures. The FHWA 

Order 4551.1 dated August 12, 2013, on 

‘‘Funding Transfers to Other Agencies 

and Among Title 23 Programs’’ provides 

guidance and more detailed 

information. This Order can be found on 

the FHWA website at: https://

www.fhwa.dot.gov/legsregs/directives/ 

orders/45511.cfm. 

For more information on Consolidated 

Planning Grants, contact Ann 

Souvandara, Office of Budget and 

Policy, FTA, at (202) 366–0649 or 

ann.souvandara@dot.gov, or Victor 

Austin at (202) 366–2996 or 

victor.austin@dot.gov. 

F. Grant Application Procedures 

All applications for FTA funds should 

be submitted to the appropriate FTA 

Office. All applications are filed 

electronically. FTA continues to award 

and manage grants and cooperative 

agreements using the Transit Award 

Management System (TrAMS). To 

access TrAMS, contact your FTA 

Regional Office. Resources on using 

TrAMS can be found on FTA’s website 

at https://www.transit.dot.gov/TrAMS. 

FTA regional staff are responsible for 

working with recipients to review and 

process grant applications. For an 

application to be considered complete 

and ready for FTA to assign a Federal 

Award Identification Number (FAIN), 

enabling submission in TrAMS, and 

submission to the Department of Labor, 

when applicable, the following 

requirements must be met: 

a. Recipient has registered in the 

System for Award Management (SAM) 

and its registration is current with an 

active status. To register an entity or 

check the status and renew registration, 

visit the SAM website at https://

www.sam.gov/SAM. 

b. Recipient’s contact information, 

including Dun and Bradstreet Data 

Universal Numbering System (DUNS), is 

correct. To request a DUNS number, call 

Dun & Bradstreet at 1–866–705–5711 or 

visit the website at http://

fedgov.dnb.com/webform. 

c. Recipient has properly submitted 

its annual certifications and assurances. 

d. Recipient’s Civil Rights 

submissions are current. 

e. Recipient has a Transit Asset 

Management plan in place that meets 

the requirements of 49 CFR part 625, or 

is covered by a compliant Group Plan. 

f. Documentation is on file to support 

recipient’s status as either a designated 

recipient for the program and area or a 

direct recipient. 

g. Funding is available, including any 

flexible funds included in the budget, 

and split letters or suballocation letters 

on file, where applicable, to support the 

amount requested in the grant 

application. 

h. The activity is listed in a currently 

approved Transportation Improvement 

Program (TIP); Statewide Transportation 

Improvement Program (STIP), or 

Unified Planning Work Program 

(UPWP) unless such requirements have 

been waived for the specific funding 

and activity type to facilitate response 

and recovery from the COVID–19 

pandemic. 

i. All eligibility issues are resolved. 

j. Required environmental findings 

are made. 

k. The application contains a welldefined scope of work, including at least 

one project with accompanying project 

narratives, at least one budget scope 

code and one activity line item, Federal 

and non-Federal funding amounts, and 

milestones. 


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l. Major Capital Projects as defined by 

49 CFR part 633 ‘‘Project Management 

Oversight’’ must document FTA has 

reviewed the project management plan 

and provided approval. 

m. Milestone information is complete. 

FTA will also review status of other 

open award reports to confirm financial 

and milestone information is current on 

other open awards. 

n. Recipient has ensured that it has 

registered to report to the National 

Transit Database, and that any 

beneficiaries that provide public 

transportation service have also 

registered to report to the National 

Transit Database. FTA must also 

provide Congressional notification 

before awarding competitive grants. 

Other important issues that impact 

FTA grant processing activities in 

addition to the list above are discussed 

below. 

a. Award Budgets—Scope Codes and 

Activity Line Items (ALI) Codes; 

Financial Purpose Codes 

FTA uses Scope and ALI Codes in the 

award budgets to track disbursements, 

monitor program trends, report to 

Congress, and to respond to requests 

from the Inspector General and the 

Government Accountability Office, as 

well as to manage grants. The accuracy 

of the data is dependent on the careful 

and correct use of codes. 

b. Designated and Direct Recipients 

Documentation 

For its formula programs, FTA 

primarily apportions funds to the 

designated recipient in the large UZAs 

(areas over 200,000), or for areas under 

200,000 (small UZAs and rural areas), it 

apportions the funds to the Governor, or 

its designee (e.g., State DOT). 

Depending on the program, as described 

in the individual program sections 

found in Section IV of this notice, 

further suballocation of funds may be 

permitted to eligible recipients who may 

then apply directly to FTA for the 

funding as direct recipients. 

For the programs in which FTA may 

make grants to eligible direct recipients, 

other than the designated recipient(s), 

recipients are reminded that 

documentation must be on file to 

support: (1) The status of the recipient 

either as a designated recipient or direct 

recipient; and (2) the allocation of funds 

to the direct recipient. 

Documentation to support existing 

designated recipients for the UZA must 

also be on file at the time of the first 

application in FY 2021. Split letters 

and/or suballocation letters (Governor’s 

Apportionment letters), must also be on 

file to support grant applications for 

direct recipients. Once suballocation 

letters for FY 2021 funding are finalized, 

they should be uploaded as part of the 

application into TrAMS. 

The Direct Recipient is required to 

upload to TrAMS a copy of the 

suballocation letter (Letter) indicating 

their allocation of funding, for the 

appropriate fund program, when the 

applicant transmits their application for 

initial review. The Letter must be signed 

by the Designated Recipient, or as 

applicable in accordance with their 

planning requirements. If there are two 

Designated Recipients, both entities 

must sign the Letter. The Letter must: 

(1) Indicate the allocations to the 

respective Direct Recipients listed in the 

letter; (2) incorporate language above 

the signatories to reflect this agreement; 

and (3) make clear that the Direct 

Recipient will assume any/all 

responsibility associated with the award 

for the funds. When drafting the Letter, 

Designated Recipients may use the 

template language below: 

As identified in this Letter, the Designated 

Recipient(s) authorize the reassignment/ 

reallocation of [enter fund source; e.g., 

Section 5307 funds] to the Direct Recipient(s) 

named herein. The undersigned agree to the 

amounts allocated/reassigned to each direct 

Recipient. Each Direct Recipient is 

responsible for its application to the Federal 

Transit Administration to receive such funds 

and assumes the responsibilities associated 

with any award for these funds. 

The contents of this document do not 

have the force and effect of law and are 

not meant to bind the public in any 

way. This document is intended only to 

provide clarity to the public regarding 

existing requirements under the law or 

agency policies. 

Recipients should refer to applicable 

regulations and statutes referenced in 

this document. 

Nuria I. Fernandez, 

Administrator. 

[FR Doc. 2021–15576 Filed 7–21–21; 8:45 am] 

BILLING CODE P 

DEPARTMENT OF THE TREASURY 

Office of the Comptroller of the 

Currency 

FEDERAL RESERVE SYSTEM 

FEDERAL DEPOSIT INSURANCE 

CORPORATION 

Proposed Agency Information 

Collection Activities; Comment 

Request 

AGENCY: Office of the Comptroller of the 

Currency (OCC), Treasury; Board of 

Governors of the Federal Reserve 

System (Board); and Federal Deposit 

Insurance Corporation (FDIC). 

ACTION: Joint notice and request for 

comment. 

SUMMARY: In accordance with the 

requirements of the Paperwork 

Reduction Act of 1995 (PRA), the OCC, 

the Board, and the FDIC (the agencies) 

may not conduct or sponsor, and the 

respondent is not required to respond 

to, an information collection unless it 

displays a currently valid Office of 

Management and Budget (OMB) control 

number. The Federal Financial 

Institutions Examination Council 

(FFIEC), of which the agencies are 

members, has approved the agencies’ 

publication for public comment of a 

proposal to revise and extend the 

Consolidated Reports of Condition and 

Income (Call Reports) (FFIEC 031, 

FFIEC 041, and FFIEC 051), which are 

currently approved collections of 

information. The agencies are requesting 

comment on proposed changes to clarify 

instructions for reporting of deferred tax 

assets (DTAs) consistent with a 

proposed rule on tax allocation 

agreements and a new item related to 

the final rule on the standardized 

approach for counterparty credit risk. 

DATES: Comments must be submitted on 

or before September 20, 2021. 

ADDRESSES: Interested parties are 

invited to submit written comments to 

any or all of the agencies. All comments, 

which should refer to the ‘‘Call Report 

Revisions,’’ will be shared among the 

agencies. 

OCC: You may submit comments, 

which should refer to ‘‘Call Report 

Revisions,’’ by any of the following 

methods: 

• Email: prainfo@occ.treas.gov. 

• Mail: Chief Counsel’s Office, Office 

of the Comptroller of the Currency, 

Attention: 1557–0081, 400 7th Street 

SW, Suite 3E–218, Washington, DC 

20219. 

• Hand Delivery/Courier: 400 7th 

Street SW, Suite 3E–218, Washington, 

DC 20219. 

Instructions: You must include 

‘‘OCC’’ as the agency name and ‘‘1557– 

0081’’ in your comment. In general, the 

OCC will publish comments on 

www.reginfo.gov without change, 

including any business or personal 

information provided, such as name and 

address information, email addresses, or 

phone numbers. Comments received, 

including attachments and other 

supporting materials, are part of the 

public record and subject to public 

disclosure. Do not include any 

information in your comment or 


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